Brian G. James

ULLMANN WEALTH PARTNERS

Jacksonville Beach, FL 32250

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CRD#: 3121560

Professional summary

Brian G James, CPWA® is a registered financial advisor currently at ULLMANN WEALTH PARTNERS located in Jacksonville Beach, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 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.

1) BAPTIST HEALTH SYSTEMS INVESTMENT COMMITTEE POSITION: Director of Investments; NATURE: hospital system (non-profit) investment committee; INVESTMENT RELATED; yes HOURS: less than 1% of time, all outside of trading/business hours; START DATE: May 2024 ADDRESS: 800 Prudential Drive, Jacksonville FL 33307 DESCRIPTION: review outside investment counselors and retirement plan structure and investment options for hospital system.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian G James's CRS (Customer Relationship Summary).

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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2018-04-02

Expire date: 2024-03-31

Experience

Current

January 10, 2022 - Present

ULLMANN WEALTH PARTNERS

Office #1: 1540 The Greens Way, Jacksonville Beach, FL 32250

RIA

CRD#: 316697

Jacksonville Beach, FL

Past

May 24, 2016 - January 3, 2022

ULLMANN WEALTH PARTNERS

RIA

CRD#: 123748

JACKSONVILLE BEACH, FL

Past

April 29, 2016 - May 2, 2016

OSAIC SERVICES, INC.

RIA

CRD#: 133763

JACKSONVILLE BEACH, FL

Past

April 6, 2016 - December 31, 2018

OSAIC SERVICES, INC.

CRD#: 133763

JACKSONVILLE BEACH, FL

Past

October 20, 1998 - July 7, 2000

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

ULLMANN WEALTH PARTNERS

DIVORCE ADVISORY GROUP | ULLMANN WEALTH PARTNERS GROUP, LLC | ULLMANN WEALTH PARTNERS | ULLMANN FINANCIAL

CRD#: 316697 / SEC#: 801-122769

RIA

Registered Investment Advisory firm - (11/26/2021 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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/10/2022)

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: 4/26/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/7/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/6/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/4/1998

National Commodity Futures Examination

Current Firm

ULLMANN WEALTH PARTNERS

DIVORCE ADVISORY GROUP | ULLMANN WEALTH PARTNERS GROUP, LLC | ULLMANN WEALTH PARTNERS | ULLMANN FINANCIAL

CRD#: 316697 / SEC#: 801-122769

RIA

Registered Investment Advisory firm - (11/26/2021 Approved)

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Contact information

Main Address

1540 The Greens Way, Jacksonville Beach, FL 32250

Mailing Address

Phone number

(904) 280-3700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ULLMANN WEALTH PARTNERS GROUP, LLC PART 2A BROCHURE (7/16/2025)

Regulatory assets under management

Total Number of Accounts	1,496
AUM (Assets Under Management)	$ 1,074,433,565

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

Brian G. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian G James's CRS (Customer Relationship Summary).

Certified licenses

Experience

ULLMANN WEALTH PARTNERS

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ULLMANN WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2016

Series 63

Date: 10/7/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/6/2016

Series 3

Date: 12/4/1998

Current Firm

ULLMANN WEALTH PARTNERS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ULLMANN WEALTH PARTNERS

TRUST BUT VERIFY

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