JF
James M. Frawley
WESTSIDE INVESTMENT MANAGEMENT
SANTA MONICA, CA 90403
Some features on this profile are disabled
CRD#: 2867752
JF
Professional summary
James Michael Frawley, ChFC®, who also goes by Jamie Frawley, is a registered financial advisor currently at WESTSIDE INVESTMENT MANAGEMENT, LLC located in Santa Monica, California and LPL FINANCIAL LLC located in Santa Monica, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jamie Frawley
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.
1. 7/28/2004 - No Business Name - NON-VARIABLE INSURANCE - INV REL - At Reported Business Location(s) 2. 1/2/2015: Westside Investment Management, S Corp - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - WESTSIDE INVESTMENT MANAGEMENT, INC. - INVESTMENT RELATED - Start 01/01/15 - 2444 Wilshire Blvd Suite 303 Santa Monica CA 90403 - Fee based advice and investing - 120 HOURS PER MONTH/4 HOURS DURING TRADING - SANTA MONICA, CA. 3. 1/23/2015: Westside Investment Management, Inc. - REGISTERED INVESTMENT ADVISOR HYBRID - (Hybrid) Westside Investment Management, Inc. - INV REL - Start 01/01/2015 - 2444 Wilshire Blvd.. Suite 303, Santa Monica, CA 90403 - James Frawley is an investment advisor with Westside Investment Management, Inc. = S corp ( from an LLC) - we are an existing business with LPL - 0 Hr/Mo 4. 4/28/2017 - TAD HOLDINGS LLC - Investment Related - Tucson, AZ - Real Estate Rental - Start 05/30/17 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 8/7/2018 - TAD II Holdings - Investment Related - Phoenix, AZ - Real Estate Rental - Start Date:09/25/2018 - 1 Hours Per Month/0 Hours During Trading. 6. 10/8/2018 - Tad Pro Inc. - Not Investment Related -At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date:10/01/2018 - 0 Hours Per Month/0 Hours During Trading. 7. 07/23/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:07/01/2019 - 1 hr/mo - 0 hrs during trading. 8. 08/31/2021 - TAD III Holdings LLC - Investment Related - Tucson, AZ - Real Estate Rental - Start Date: 09/30/2021 - 1 Hour Per Month/0 Hours During Securities Trading - TAD III Holdings LLC set up to buy a new apartment building. 9. 02/08/2022 - Westside Investment Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/07/2022 - 38 Hours Per Month/4 Hours During Securities Trading. 10. 03/03/2022 - Frawley Capital Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 02/01/2022 - 1 Hours Per Month/0 Hours During Securities Trading. 11. 3/23/2023 - TAD IV Holdings, LLC - Investment Related - Tucson AZ 85713 - Real Estate Rental - Start Date - 05/01/2023 - 1 Hours Per Month/0 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Frawley'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®
Experience
Current
August 31, 2010 - Present
WESTSIDE INVESTMENT MANAGEMENT, LLC
Office #1: 2444 Wilshire Boulevard Suite 303, Santa Monica, CA 90403RIA
CRD#: 154522
SANTA MONICA, CA
Current
April 23, 2004 - Present
LPL FINANCIAL LLC
Office #1: 2444 Wilshire Blvd #303, Santa Monica, CA 90403Office #2: 10900 Hefner Pointe Dr Ste 502, Oklahoma City, OK 73120-5006RIA
BD
CRD#: 6413
Santa Monica, CA
Past
April 16, 2004 - April 28, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANTA MONICA, CA
Past
December 15, 1997 - April 29, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WOODLAND HILLS, CA
Past
July 28, 1997 - April 29, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 28, 1997 - April 29, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
WI
WESTSIDE INVESTMENT MANAGEMENT, LLC
WESTSIDE INVESTMENT MANAGEMENT | WESTSIDE INVESTMENT MANAGEMENT, LLC | WESTSIDE INVESTMENT MANAGEMENT, INC.
CRD#: 154522 / SEC#: 801-71762
RIA
Registered Investment Advisory firm - (8/30/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(6/3/2021)
RR
Arizona(1/22/2008)
RR
California(4/23/2004)
IAR
California(8/31/2010)
RR
Colorado(5/12/2004)
RR
Connecticut(1/29/2020)
RR
District of Columbia(1/16/2013)
RR
Florida(2/2/2012)
RR
Georgia(12/3/2014)
RR
Hawaii(5/12/2004)
IAR
Hawaii(11/7/2011)
RR
Idaho(5/4/2011)
RR
Illinois(6/21/2017)
RR
Indiana(9/2/2009)
RR
Kansas(1/12/2015)
RR
Louisiana(12/5/2014)
RR
Maine(3/2/2011)
RR
Maryland(10/30/2013)
RR
Massachusetts(9/16/2011)
RR
Michigan(1/13/2012)
RR
Minnesota(4/28/2023)
RR
Missouri(3/2/2011)
RR
Montana(2/4/2020)
RR
Nebraska(11/26/2013)
RR
Nevada(5/5/2009)
RR
New Jersey(2/19/2013)
RR
New Mexico(5/20/2009)
RR
New York(2/16/2011)
RR
North Carolina(8/31/2009)
RR
North Dakota(2/18/2025)
RR
Ohio(2/28/2011)
RR
Oklahoma(9/11/2009)
IAR
Oklahoma(11/30/2012)
RR
Oregon(8/25/2004)
RR
Pennsylvania(9/6/2017)
RR
South Carolina(9/9/2009)
RR
South Dakota(6/23/2017)
RR
Tennessee(9/23/2024)
RR
Texas(5/3/2007)
IAR
Texas(9/7/2010)
RR
Vermont(1/3/2019)
RR
Virginia(7/23/2009)
RR
Washington(7/24/2009)
RR
Wyoming(4/23/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WESTSIDE INVESTMENT MANAGEMENT, LLC
WESTSIDE INVESTMENT MANAGEMENT | WESTSIDE INVESTMENT MANAGEMENT, LLC | WESTSIDE INVESTMENT MANAGEMENT, INC.
CRD#: 154522 / SEC#: 801-71762
RIA
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Contact information
Main Address
2444 Wilshire Blvd Suite 303, Santa Monica, CA 90403
Mailing Address
Phone number
(310) 315-9400
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,339 |
| AUM (Assets Under Management) | $ 774,187,696 |
Red Flags
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Company Information
WESTSIDE INVESTMENT MANAGEMENT, LLC
CRD#: 154522Santa Monica, CA 90403TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
