JD
James T. Donnelly
FOCUS FINANCIAL
Minneapolis, MN 55413
Some features on this profile are disabled
CRD#: 3064012
JD
Professional summary
James T. Donnelly, who also goes by James Thornton Donnelly, Jim Donnelly, is a registered financial advisor currently at FOCUS FINANCIAL located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Minneapolis, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Thornton Donnelly | Jim Donnelly
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. FOCUS FINANCIAL NETWORK, INC, INVESTMENT RELATED, 1300 GODWARD ST. NE, SUITE 5500, MINNEAPOLIS, MN 55113, STATUTORY AGENT, 12/01/2006, 3 HRS MONTH, 3 HRS DST, SELLING LIFE INSURANCE AND FIXED ANNUITIES. 2. FOCUS FINANCIAL NETWORK, INC, INVESTMENT RELATED, 1300 GODWARD ST. NE, SUITE 5500, MINNEAPOLIS, MN 55413, REGISTERED INVESTMENT ADVISOR, 12/01/2006, 20 HRS MONTH, 20 HRS DST, PROVIDE INVESTMENT ADVISORY SERVICES TO CLIENTS. 3. MIDLAND TOASTMASTERS CLUB POSITION: Vice-President for Membership NATURE: Non-Profit Club which focuses on improving public speaking skills and leadership development. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: Various Locations, Saint Paul MN 55113, United States DESCRIPTION: I am responsible for membership development in the club, specifically, recruiting and encouraging new members to join the club. 4. ST. ODILIA MUSICAL MINISTRY COMMITTEE POSITION: Member of Musical Ministry Committee NATURE: Non Profit Church INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2019 ADDRESS: 3495 Victoria St. N, Shoreview MN 55126, United States DESCRIPTION: Meet with other committee members on a monthly basis to plan and organize annual musical productions at my church. 5. TRUSTEE POSITION: Trustee for trust NATURE: Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/17/2003 ADDRESS: 5754 Pond Drive, Shoreview MN 55126, United States DESCRIPTION: I am trustee for the Donnelly Grandchildren's trust that was established by my mother who is now deceased. I take annual income from the trust during my lifetime and manage the trust assets. Upon my death, the assets will pass to my two children. 6. HILL-MURRAY SCHOOL POSITION: Alumni Board Member NATURE: Private Catholic Middle School and High School INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 09/18/2025 ADDRESS: 2625 Larpenteur Ave. E, Maplewood MN 55109, United States DESCRIPTION: The Hill-Murray School Alumni Board is advisory in nature. It exists to promote engagement and involvement among alumni of Hill-Murray School. This includes sponsoring alumni events a few times per year. As part of this, I have been asked to be a "Financial Fitness" committee member that raises awareness of various ways alumni may contribute to the school such as qualified charitable distributions, wills, etc.
CRS (Client Relationship Summary) - RIA
Click below to view James T. Donnelly'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
April 16, 2007 - Present
FOCUS FINANCIAL
Office #1: 1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413RIA
CRD#: 116140
Minneapolis, MN
Current
December 4, 2006 - Present
OSAIC WEALTH, INC.
Office #1: 1300 Godward St Ne Suite 5500, Minneapolis, MN 55413RIA
BD
CRD#: 23131
Minneapolis, MN
Past
February 17, 2004 - December 4, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MAPLEWOOD, MN
Past
May 8, 2002 - December 4, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
MAPLEWOOD, MN
Past
June 30, 1998 - May 6, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 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.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(1/6/2017)
RR
Arizona(12/4/2006)
RR
Colorado(1/9/2007)
RR
Florida(1/9/2007)
RR
Georgia(3/12/2015)
RR
Illinois(5/6/2009)
RR
Michigan(10/20/2010)
RR
Minnesota(12/4/2006)
IAR
Minnesota(12/9/2013)
RR
New York(11/12/2025)
RR
Virginia(6/14/2012)
RR
Wisconsin(12/4/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
