William W. James

CAPITAL ADVISORY GROUP

TAMPA, FL

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CRD#: 3073447

Professional summary

William Westley James is a registered financial advisor currently at CAPITAL ADVISORY GROUP located in Tampa, Florida.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. William has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view William Westley 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

May 12, 2008 - Present

CAPITAL ADVISORY GROUP

RIA

CRD#: 147192

TAMPA, FL

Past

October 12, 2006 - July 24, 2008

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

TAMPA, FL

Past

October 2, 2006 - July 24, 2008

CINCINNATI ANALYSTS, INC.

CRD#: 5478

TAMPA, FL

Past

June 7, 2006 - September 28, 2006

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

TAMPA, FL

Past

August 20, 1998 - September 28, 2006

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

TAMPA, FL

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

Florida
(5/12/2008)

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: 9/28/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/18/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL ADVISORY GROUP

CAG TAMPA, LLC | CAPITAL ADVISORY GROUP

CRD#: 147192 / SEC#: 801-69161

RIA

Registered Investment Advisory firm - (7/19/2012 Terminated)

Florida

Registered Investment Advisory firm - (6/27/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Tampa, FL

Mailing Address

Phone number

(813) 254-1070

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 42,091,139

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William W. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Westley James's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ADVISORY GROUP

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2005

Series 63

Date: 9/8/1998

Series 7

Date: 4/12/2000

Series 6

Date: 8/18/1998

Current Firm

CAPITAL ADVISORY GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL ADVISORY GROUP

TRUST BUT VERIFY

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