James Conner

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CRD#: 2574506

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Conner was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 9, 2004 - January 6, 2021

WOODMONT INVESTMENT COUNSEL, LLC

RIA

CRD#: 109779

NASHVILLE, TN

Past

June 5, 2001 - January 20, 2004

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

August 14, 2000 - May 24, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 22, 1998 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

January 20, 1995 - June 19, 1997

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WOODMONT INVESTMENT COUNSEL, LLC

CRD#: 109779 / SEC#: 801-57961

RIA

Registered Investment Advisory firm - (9/11/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/8/1995

General Securities Representative Examination

Current Firm

WOODMONT INVESTMENT COUNSEL, LLC

CRD#: 109779 / SEC#: 801-57961

RIA

Registered Investment Advisory firm - (9/11/2000 Approved)

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Contact information

Main Address

3825 Bedford Ave Suite 202, Nashville, TN 37215

Mailing Address

Phone number

(615) 297-6144

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WIC 2A AA 3.20.2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,569
AUM (Assets Under Management)	$ 1,742,857,741

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James Conner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WOODMONT INVESTMENT COUNSEL, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

WOODMONT INVESTMENT COUNSEL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/1998

Series 7

Date: 2/8/1995

Current Firm

WOODMONT INVESTMENT COUNSEL, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WOODMONT INVESTMENT COUNSEL, LLC

TRUST BUT VERIFY

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