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James Thomas Blakey

James T. Blakey

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CRD#: 2934957
James Thomas Blakey

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Thomas Blakey, CFP® was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1997. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2002

Experience

Past

November 15, 2019 - November 3, 2020

CAPITAL ONE INVESTING, INC.

RIA
CRD#: 285084
Davidson, NC
Past

September 11, 2009 - November 11, 2019

SOUTHEAST FINANCIAL GROUP

RIA
CRD#: 151216
Davidson, NC
Past

September 8, 2009 - December 12, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
DAVIDSON, NC
Past

September 8, 2009 - September 21, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
DAVIDSON, NC
Past

August 15, 2005 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA
CRD#: 10078
CORNELIUS, NC
Past

August 15, 2005 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
CORNELIUS, NC
Past

August 9, 2002 - August 15, 2005

TOWER SQUARE SECURITIES, INC.

RIA
CRD#: 833
DURHAM, NC
Past

July 25, 2002 - August 15, 2005

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

September 15, 1997 - February 15, 2001

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/10/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/12/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/12/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CO
CAPITAL ONE INVESTING, INC.
CAPITAL ONE INVESTING, INC. | UNITED INCOME, INC.

CRD#: 285084 / SEC#: 801-111630

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Contact information

Main Address
1600 Capital One Drive 22nd Floor, Mclean, VA 22102
Mailing Address
Phone number
(202) 539-1039
Established
Firm type
Fiscal year end
# of Employees
73

Documents

Latest Form ADV

Part 2 Brochures

UNITED INCOME, INC. - FORM ADV PART 2A APPENDIX 1_UIWP (MARCH 30, 2020) (3/31/2022)

Regulatory assets under management

Total Number of Accounts1,089
AUM (Assets Under Management)$ 920,140,975

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2022
Cover Page
Report

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.

Company Information

CAPITAL ONE INVESTING, INC.

CRD#: 285084

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