JG
James S. Gibbons
THURSTON SPRINGER ADVISORS
Annapolis, MD 21401
Some features on this profile are disabled
CRD#: 3103359
JG
Professional summary
James Sherwood Gibbons, who also goes by Jim Gibbons, is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Annapolis, Maryland and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Annapolis, Maryland.
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 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Gibbons
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) RHODE BAY ENTERPRISES, NOT INV RELATED, SEVERNA PARK, MD, 100% OWNERSHIP WITH SPOUSE, START 9/1/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, NAMED IN WIFE'S MARKETING ADMINISTRATIVE AND EDUCATION BUSINESS FOR ESTATE PURPOSES NO DAILY INVOLVEMENT. 2) ALPHA POINTE CAPITAL JG, INV RELATED, ANNAPOLIS, MD, 100% OWNERSHIP, START 5/23/2018, 160 HRS PER MONTH, 8 HRS DURING TRADING, FINET PRACTICE. 3) G & M INVESTMENT GROUP, INV RELATED, ANNAPOLIS, MD, 50% OWNERSHIP, START 1/31/2017, 160 HOURS PER MONTH, 160 HOURS DURING TRADING, FINET PRACTICE. 4) ROCKY BAY ENTERPRISES, NOT INV RELATED; 2986 FRIENDS RD, ANNAPOLIS, MD; CONSULTING BUSINESS TO ASSIST BUSINESSES IN POSITIONING THEMSELVES IN THEIR RESPECTIVE MARKETS; CONSULTANT; 04/14/2023; 10 HOURS PER MONTH; 0 HOURS DURING TRADING; CONSULTANT AND 30% OWNER, WIFE 50% OWNER, SONS 20% OWNER. 5) Chesa Tech, Organizes Non-profit Tech events and programs, Not investment related, 2 hours a month during trading hours 6) Maryland Tech Council, Co Chair of Chesapeake Regional Chapter, Organize programs and events, not investment related, Not during trading hours. No fiduciary duties. No comp. 7) High Tech Navigators/HTN, Facilitate Healthcare Technology Innovations, not investment related, duties, business development and networking. 2 hours per month during trading hours. 8) GDG Annapolis-Google Developers Group, Co-Founder, develop networking for Community members and businesses, not investment related no comp. 2 hours a month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Sherwood Gibbons'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
March 18, 2022 - Present
THURSTON SPRINGER ADVISORS
Office #1: 1997 Annapolis Exchange Parkway Annapolis Center, Ste. 300, Annapolis, MD 21401RIA
CRD#: 299201
Annapolis, MD
Current
March 18, 2022 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
Office #1: 1997 Annapolis Exchange Parkway Annapolis Center, Ste. 300, Annapolis, MD 21401BD
CRD#: 8478
Annapolis, MD
Past
March 23, 2012 - March 21, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ANNAPOLIS, MD
Past
March 23, 2012 - March 21, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ANNAPOLIS, MD
Past
March 13, 2009 - March 29, 2012
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ANNAPOLIS, MD
Past
March 13, 2009 - March 29, 2012
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ANNAPOLIS, MD
Past
April 24, 2001 - March 13, 2009
FERRIS, BAKER WATTS, LLC
RIA
CRD#: 285
ANNAPOLIS, MD
Past
September 29, 1998 - March 13, 2009
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
ANNAPOLIS, MD
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".
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 Approved)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
California(3/18/2022)
RR
Colorado(3/18/2022)
RR
Delaware(3/18/2022)
RR
District of Columbia(3/18/2022)
RR
Florida(4/21/2022)
RR
Georgia(4/28/2022)
RR
Maryland(3/18/2022)
IAR
Maryland(3/18/2022)
RR
Mississippi(3/18/2022)
RR
Missouri(3/18/2022)
RR
New Jersey(3/18/2022)
RR
New York(3/18/2022)
RR
Pennsylvania(3/18/2022)
RR
South Carolina(3/18/2022)
RR
Texas(3/18/2022)
IAR
Texas(3/18/2022)
RR
Virginia(3/18/2022)
RR
West Virginia(3/18/2022)
RR
Wisconsin(3/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
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Contact information
Main Address
9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 581-4000
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
