James Zirkle Sowers
Professional Summary
James Zirkle Sowers, who also goes by Jim Sowers, is a registered financial advisor currently at FOCUS SECURITIES LLC located in Gainesville, Virginia. James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 79, Series 14, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Sowers
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FOCUS SECURITIES LLC
Contact Information
Main Address
7371 Atlas Walk Way #259, Gainesville, VA 20155Mailing Address
7371 Atlas Walk Way #259, Gainesville, VA 20155Phone Number
(404) 557-1045Established
Georgia since 03/23/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOCUS CAPITAL ACQUISITION LLC | OWNER | — |
| BEARD, ROBERT GLENN | PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | 5771682 |
| THOMPSON, RICHARD FRANK JR. | FINOP, ER | — |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(2/15/2024)
(7/1/2022)
(3/1/2023)
(7/1/2022)
(7/26/2024)
(1/17/2023)
(7/1/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Sep 2011About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2015About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Zirkle Sowers's CRS (Customer Relationship Summary).
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