James Z. Sowers

FOCUS SECURITIES LLC

Gainesville, VA 20155

Some features on this profile are disabled

CRD#: 2750799

Professional summary

James Zirkle Sowers, who also goes by Jim Sowers, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Sowers

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 Zirkle Sowers'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

July 1, 2022 - Present

FOCUS SECURITIES LLC

Office #1: 7371 Atlas Walk Way #259, Gainesville, VA 20155

CRD#: 150589

Gainesville, VA

Past

August 11, 2020 - June 23, 2022

TRANSACT CAPITAL SECURITIES, LLC

RIA

CRD#: 133822

Glen Allen, VA

Past

September 16, 2011 - June 29, 2022

TRANSACT CAPITAL SECURITIES, LLC

CRD#: 133822

Glen Allen, VA

Past

May 5, 1999 - July 6, 2001

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

September 18, 1997 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

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

Colorado
(2/15/2024)

District of Columbia
(7/1/2022)

Florida
(3/1/2023)

Maryland
(7/1/2022)

Michigan
(7/26/2024)

New York
(1/17/2023)

Virginia
(7/1/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/23/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/21/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2014

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 9/15/2011

Investment Banking Registered Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 3/2/2015

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/7/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FOCUS SECURITIES LLC

CRD#: 150589 / SEC#: , 8-68273

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7371 Atlas Walk Way #259, Gainesville, VA 20155

Mailing Address

7371 Atlas Walk Way #259, Gainesville, VA 20155

Phone number

(404) 557-1045

Established

Georgia since 03/23/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FOCUS HOLDINGS USA, INC.	OWNER
BEARD, ROBERT GLENN	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER	5771682
THOMPSON, RICHARD FRANK JR.	FINOP, ER

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.

Similar Advisors

Waneta Jaikarran

E1 ASSET MANAGEMENT, INC.

Thomas Acerra

LPL FINANCIAL LLC

IAR

RED BANK, NJ

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James Z. Sowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Zirkle Sowers's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSACT CAPITAL SECURITIES, LLC

TRANSACT CAPITAL SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2020

Series 63

Date: 9/21/2011

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2014

Series 79

Date: 9/15/2011

Series 14

Date: 1/2/2023

Series 28

Date: 3/2/2015

Series 24

Date: 10/7/2014

FINRA

Current Firm

FOCUS SECURITIES LLC

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FOCUS SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors