James Z. Sowers
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.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Zirkle Sowers's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2022 - Present
FOCUS SECURITIES LLC
Office #1: 7371 Atlas Walk Way #259, Gainesville, VA 20155August 11, 2020 - June 23, 2022
TRANSACT CAPITAL SECURITIES, LLC
September 16, 2011 - June 29, 2022
TRANSACT CAPITAL SECURITIES, LLC
May 5, 1999 - July 6, 2001
SCOTT & STRINGFELLOW, LLC
September 18, 1997 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/15/2024)
(7/1/2022)
(3/1/2023)
(7/1/2022)
(7/26/2024)
(1/17/2023)
(7/1/2022)
Exams
What does exam status mean?
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationSeries 79
Passed: 9/15/2011
Series 28
Passed: 3/2/2015
FINRA
Current Firm
FOCUS SECURITIES LLC
CRD#: 150589 / SEC#: , 8-68273
Contact information
FINRA licenses (46 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 |
Red Flags
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