James M. Gregory
Professional summary
James Michael Gregory, who also goes by Mike Gregory, is a registered financial advisor currently at BILTMORE FAMILY OFFICE, LLC located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Gregory's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2018 - Present
BILTMORE FAMILY OFFICE, LLC
Office #1: 500 East Boulevard, Charlotte, NC 28203March 28, 2002 - December 13, 2002
FOUNDERS ASSET MANAGEMENT LLC
March 16, 2000 - September 26, 2001
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
BILTMORE FAMILY OFFICE, LLC
CRD#: 167174 / SEC#: 801-78011
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/8/2018)
Exams
Current Firm
BILTMORE FAMILY OFFICE, LLC
CRD#: 167174 / SEC#: 801-78011
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 951 |
| AUM (Assets Under Management) | $ 3,164,134,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 04/29/2025 | ||
| 04/12/2024 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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