Brian G James
CPWA®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
DIVORCE ADVISORY GROUP | ULLMANN WEALTH PARTNERS GROUP, LLC | ULLMANN WEALTH PARTNERS | ULLMANN FINANCIAL
Contact Information
Main Address
1540 The Greens Way, Jacksonville Beach, FL 32250Phone Number
(904) 280-3700# of Employees
13SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,605AUM (Assets Under Management)
$1,254,153,252Similar Advisors
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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.
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Primary Firm SEC Registration
DIVORCE ADVISORY GROUP | ULLMANN WEALTH PARTNERS GROUP, LLC | ULLMANN WEALTH PARTNERS | ULLMANN FINANCIAL
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Brian G James's CRS (Customer Relationship Summary).
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