Matthew T. James

CDS JAMES INVESTMENTS

New Orleans, LA 70124

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CRD#: 2977197

Professional summary

Matthew Thomas James, who also goes by Matthew T James, is a registered financial advisor currently at CDS JAMES INVESTMENTS, LLC located in New Orleans, Louisiana.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Matthew has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew T James

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.

NAME OF ENTITY: (SELF) AIR BNB POSITION: OWNER / LANDLORD - RENTAL PROPERTY DETAILS: 3204-06 NEW ORLEANS, LA. start date 01/29/2016, 5 hours per month spent on position, 0 hours during securities trading, investment related. NAME OF ENTITY: LYFT; start date: 8/2018; Driver; not investment related; 32 hours a month ; 0 during market hours; New Orleans, LA; NAME OF ENTITY: MIA BELLA BEAUTY LOUNGE; new Orleans la POSITION: OWNER/DIRECTOR; start date 1/12/2018; 5 hours per month devoted to business; 0 hours during securities trading; non investment related; Beauty Salon and Supply; Management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Thomas James'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

January 14, 2019 - Present

CDS JAMES INVESTMENTS, LLC

Office #1: 720 Harrison Ave Suite C, New Orleans, LA 70124

RIA

CRD#: 299741

New Orleans, LA

Past

October 1, 2012 - January 22, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

METAIRIE, LA

Past

October 1, 2012 - January 22, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

METAIRIE, LA

Past

April 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

COLUMBUS, OH

Past

September 20, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

COLUMBUS, OH

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

Louisiana
(1/14/2019)

IAR

Texas
(11/24/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/19/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/4/2013

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/4/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2010

General Securities Principal Examination

Current Firm

CDS JAMES INVESTMENTS, LLC

CRD#: 299741 / SEC#:

Louisiana

Registered Investment Advisory firm - (1/14/2019 Approved)

Texas

Registered Investment Advisory firm - (11/20/2019 Conditional Restricted)

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Contact information

Main Address

318 Harrison Ave, New Orleans, LA 70124

Mailing Address

Phone number

(337) 221-0991

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 42,924,297

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.

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Advisor Monitoring

Firm Stability Insights

Matthew T. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Thomas James's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2009

SIE

Date: 1/22/2018

Series 7

Date: 9/29/2008

Series 6

Date: 9/19/2006

Series 4

Date: 3/4/2013

Series 53

Date: 3/4/2011

Series 24

Date: 12/29/2010

Current Firm

CDS JAMES INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CDS JAMES INVESTMENTS, LLC

TRUST BUT VERIFY

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