JS
James F. Stawick
HARVEST INVESTMENT SERVICES
INDIANAPOLIS, IN 46220
Some features on this profile are disabled
CRD#: 2897806
JS
Professional summary
James Francis Stawick, who also goes by James F Stawick, Jim Stawick, is a registered financial advisor currently at HARVEST INVESTMENT SERVICES, LLC located in Indianapolis, Indiana.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James F Stawick | Jim Stawick
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.
Owner of The Stawick CPA Group, Indianapolis, Indiana; start date: 05/2010; non-investment related;a bookkeeping and accounting business; provides bookkeeping and accounting services to small businesses; I devote 200 hours per month to this business, all of these hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Francis Stawick'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®
NoneExperience
Current
February 6, 2019 - Present
HARVEST INVESTMENT SERVICES, LLC
Office #1: 2825 East 56th Street Ste 100, Indianapolis, IN 46220Office #2: 1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285RIA
CRD#: 159390
INDIANAPOLIS, IN
Past
September 13, 2010 - January 29, 2019
ARCHER INVESTMENT CORPORATION
RIA
CRD#: 136403
CARMEL, IN
Past
August 20, 2004 - December 20, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
March 15, 2001 - September 9, 2002
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
April 4, 2000 - March 23, 2001
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
August 15, 1997 - December 31, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
HI
HARVEST INVESTMENT SERVICES, LLC
COMPREHENSIVE FINANCIAL PLANNING SERVICES | PYLE FINANCIAL SERVICES, INC | PROGRESSIVE FINANCIAL PLANNING SERVICES, INC. | HARVEST INVESTMENT SERVICES, LLC | HARVEST INVESTMENT SERVICES, INC. | HARRISON FINANCIAL GROUP, INC. | HARRISON FINANCIAL GROUP, INC | DOUBLE W FINANCIAL GROUP, INC. | COPELIN FINANCIAL ADVISORS
CRD#: 159390 / SEC#: 801-79232
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arizona
Registered Investment Advisory firm - (3/21/2014 Terminated)California
Registered Investment Advisory firm - (4/20/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (3/28/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/21/2014 Terminated)Texas
Registered Investment Advisory firm - (3/21/2014 Terminated)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.Highlighted states indicate IAR registrations
IAR
Indiana(2/6/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
HI
HARVEST INVESTMENT SERVICES, LLC
COMPREHENSIVE FINANCIAL PLANNING SERVICES | PYLE FINANCIAL SERVICES, INC | PROGRESSIVE FINANCIAL PLANNING SERVICES, INC. | HARVEST INVESTMENT SERVICES, LLC | HARVEST INVESTMENT SERVICES, INC. | HARRISON FINANCIAL GROUP, INC. | HARRISON FINANCIAL GROUP, INC | DOUBLE W FINANCIAL GROUP, INC. | COPELIN FINANCIAL ADVISORS
CRD#: 159390 / SEC#: 801-79232
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arizona
Registered Investment Advisory firm - (3/21/2014 Terminated)California
Registered Investment Advisory firm - (4/20/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (3/28/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/21/2014 Terminated)Texas
Registered Investment Advisory firm - (3/21/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285
Mailing Address
Phone number
(630) 613-9230
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,335 |
| AUM (Assets Under Management) | $ 534,204,368 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
