John H. Atkins

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CRD#: 2731150

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.

John Howard Atkins was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1996. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 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

November 22, 2019 - June 7, 2021

JAMES RIVER ASSET MANAGEMENT, LLC

RIA

CRD#: 117917

MIDLOTHIAN, VA

Past

July 15, 2016 - September 1, 2020

VALMARK SECURITIES, INC.

CRD#: 31243

Midlothian, VA

Past

March 4, 2002 - January 2, 2003

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 24, 2001 - February 22, 2002

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

February 26, 1997 - April 25, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 18, 1996 - June 28, 1996

NYLIFE SECURITIES LLC

CRD#: 5167

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".

JAMES RIVER ASSET MANAGEMENT, LLC

CRD#: 117917 / SEC#: 801-112743

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Virginia

Registered Investment Advisory firm - (10/1/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 65

Date: 8/26/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/15/2016

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 3/24/1997

General Securities Representative Examination

Current Firm

JAMES RIVER ASSET MANAGEMENT, LLC

CRD#: 117917 / SEC#: 801-112743

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Virginia

Registered Investment Advisory firm - (10/1/2018 Terminated)

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Contact information

Main Address

15521 Midlothian Tnpk. Suite 100, Midlothian, VA 23113

Mailing Address

Phone number

(804) 323-0517

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,180
AUM (Assets Under Management)	$ 235,964,765

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

John H. Atkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALMARK SECURITIES, INC.

NEW ENGLAND SECURITIES

NYLIFE SECURITIES LLC

MORGAN STANLEY DW INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

JAMES RIVER ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2019

Series 63

Date: 6/22/2016

SIE

Date: 10/1/2018

Series 6

Date: 7/15/2016

Series 7

Date: 3/24/1997

Current Firm

JAMES RIVER ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES RIVER ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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