James Compeau Fyffe
Professional Summary
James Compeau Fyffe is a registered financial advisor currently at GOLDMAN SACHS CUSTODY SOLUTIONS located in Mclean, Virginia. James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 31, Series 4, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
DIRECTINDEXER | VIA FOLIO | GOLDMAN SACHS CUSTODY SOLUTIONS | FOLIO[FN] INVESTMENTS, INC. | FOLIOTRADE BROKERAGE LLC | FOLIOFN INVESTMENTS, INC. | FOLIOFIRST | FOLIO RESEARCH, LLC | FOLIO RESEARCH | FOLIO INVESTMENTS, INC. | FOLIO INVESTING | FOLIO INSTITUTIONAL | FOLIO CLIENT
Contact Information
Main Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102Mailing Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102Phone Number
(703) 245-4000Established
Virginia since 01/10/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | — |
| AKINOLA, TEMIDAYO | DIRECTOR | 7022068 |
| ARNOLD, EDWARD RAYMOND | CHIEF COMPLIANCE OFFICER | 1876464 |
| DALTON, WILLIAM | DIRECTOR | 5561615 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| KHANNA, SAATWIK | DIRECTOR | 4885372 |
| PRITCHARD, MICHAEL | ASSISTANT GENERAL COUNSEL, SECRETARY | 7354441 |
| ROMO, SARAH | DIRECTOR | 6678077 |
| SHRESTHA, PANKAUZ N | ASSISTANT GENERAL COUNSEL | 4960883 |
| TRILLO, CYNTHIA | COO, POO & DIRECTOR | 5577678 |
Disclosures
Regulatory Event
7Arbitration
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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.
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State Registrations and Notice Filings
(9/12/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Compeau Fyffe's CRS (Customer Relationship Summary).
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