James D. Rowe

BRITEHORN SECURITIES

Mesquite, NV

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CRD#: 2734834

Professional summary

James David Rowe, who also goes by James Rowe, is a registered financial professional currently at BRITEHORN SECURITIES located in Mesquite, Nevada.

James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 8 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Rowe

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) - BD

Click below to view James David Rowe's CRS (Customer Relationship Summary).

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

Current

May 17, 2023 - Present

BRITEHORN SECURITIES

CRD#: 36402

Mesquite, NV

Past

January 6, 2021 - May 18, 2021

PROBITAS FUNDS GROUP, LLC

CRD#: 115876

Mesquite, NV

Past

April 2, 2020 - August 3, 2020

IQ CAPITAL (USA) LLC

CRD#: 283405

Boulder City, NV

Past

November 8, 2017 - March 19, 2018

WEALTHFORGE SECURITIES, LLC

CRD#: 152550

BOULDER CITY, NV

Past

February 3, 2016 - February 11, 2016

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

September 15, 2015 - October 5, 2016

WORLD ASSET MANAGEMENT, INC.

RIA

CRD#: 142108

DETROIT, MI

Past

February 12, 2002 - August 19, 2015

ROWE CAPITAL PARTNERS, L.L.C.

CRD#: 116428

BOULDER CITY, NV

Past

May 19, 1999 - December 15, 1999

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/11/2023)

Nevada
(5/23/2023)

New York
(12/12/2023)

Exams

State Security Law Exam

Series 63

Date: 12/9/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/29/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 3/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 10/20/2001

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

Current Firm

BRITEHORN SECURITIES

CRD#: 36402 / SEC#: , 8-47217

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1401 Lawrence St Suite 1600, Denver, CO 80202

Mailing Address

1401 Lawrence St Suite 1600, Denver, CO 80202

Phone number

(720) 465-5305

Established

Colorado since 10/31/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BRITEHORN PARTNERS LLC	DIRECT OWNER
ARMSTRONG, BOBBI JEANNE	CHIEF COMPLIANCE OFFICER	2828244
HURRY, ANDREW DUNCAN	CHIEF FINANCIAL OFFICER	5131486
STORY, BRETT HOWARD	PRINCIPAL	5580403
STORY, NATALIA KLISHINA	CHIEF COMPLIANCE OFFICER	7271729

Disclosures

Regulatory Event

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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Firm Stability Insights

James D. Rowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James David Rowe's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROBITAS FUNDS GROUP, LLC

IQ CAPITAL (USA) LLC

WEALTHFORGE SECURITIES, LLC

COMERICA SECURITIES

WORLD ASSET MANAGEMENT, INC.

ROWE CAPITAL PARTNERS, L.L.C.

FIDELITY DISTRIBUTORS COMPANY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/2023

Series 65

Date: 3/29/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 3/19/2018

Series 7

Date: 5/18/1999

Series 24

Date: 11/14/2001

Series 28

Date: 10/20/2001

FINRA

Current Firm

BRITEHORN SECURITIES

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BRITEHORN SECURITIES

TRUST BUT VERIFY

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