James D. Warring
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CRD#: 3198200
Professional summary
James Dale Warring was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, James had worked at 9 firms, which includes EMERSON EQUITY LLC, DAI SECURITIES LLC, EAGLESTONE WEALTH ADVISORS INC., TRIAD ADVISORS LLC, GROVE POINT INVESTMENTS LLC, R&M WEALTH MANAGEMENT SERVICES LLC, 1ST GLOBAL ADVISORS INC, 1ST GLOBAL CAPITAL CORP., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER.
Question & Answer
Are you a "fiduciary"?
No
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)-EAGLESTONE RETIREMENT SERVICES-INVESTMENT RELATED, 1101 WOOTTON PWKY STE 400 ROCKVILLE, MD 20852; RETIREMENT SERVICES 401(K) TPA COMPANY; SHAREHOLDER; MINORITY OWNER (THROUGH ESTWA HOLDING COMPANY) IN RETIREMENT SERVICES ENTITY, LESS THAN 15 HOURS A MONTH, WITH LESS THAN 15 HRS A MONTH DURING SECURITIES TRADING HOURS, 01/2022 2)-EAGLESTONE WEALTH ADVISORS, INC-INVESTMENT RELATED; 1101 WOOTTON PWKY STE 400 ROCKVILLE MD 20852; REGISTERED INVESTMENT ADVISOR; FOUNDER AND CEO; ASSIST IN RUNNING DAILY OPERATIONS AND DEVELOPING GROWTH STRATEGIES; 160 HRS A MONTH AND 6.5 HRS DAILY DURING SECURITIES TRADING HOURS. 3)-EAGLESTONE TAX & ACCOUNTING SERVICES-INVESTMENT RELATED; 1101 WOOTTON PWKY STE 400 ROCKVILLE MD 20852; TAX SERVICES COMPANY, FOUNDER AND CEO; ASSIST IN RUNNING DAILY OPERATIONS AND DEVELOPING GROWTH STRATEGIES, 160 HRS A MONTH, 6.5 DAILY DURING SECURITIES TRADING HOURS, 02/2007 4)-EAGLESTONE TAX & WEALTH ADVISORS-INVESTMENT RELATED; 1101 WOOTTON PWKY STE 400 ROCKVILLE MD 20852; PARENT COMPANY OF RIA, TAX ENTITY AND RETIREMENT SERVICES ENTITY, A HOLDING COMPANY; SHAREHOLDER; MAJORITY SHAREHOLDER OF COMPANY; LESS THAN 5 HRS MONTHLY AND LESS THAN 5 HRS DURING SECURITIES TRADING HOURS; 01/2022 5)-JAMES D WARRING, CFP, LIFE DISABILITY AND INSURANCE SALES; INVESTMENT RELATED, 1101 WOOTTON PWKY STE 400 ROCKVILLE MD 20852 AND 15 SOMERSET STREET UNIT 401 CLEARWATER BEACH FL 33767; LIFE INSURANE, DISABILITY INSURANCE AND LONG TERM CARE INSURANCE SALES, SOLE PROPRIETOR, FORM 1099 INDEPENDENT CONTRACTOR; WE PLACE INSURANCE PRODUCTS AS APPROPRIATE FOR OUR TAX CLIENTS BASED ON THEIR NEEDS AND TO MITIGATE TAX RISK OF PREMATURE DEATH, DISABILITY OR LONG TERM CARE HEALTH REQUIREMENTS; 5-10 HRS A MONTH AND 5-10 HOURS A MONTH DURING SECURITIES TRADING HOURS; 2/2007 6) 1031 EXCHANGE SOLUTIONS, INC.-INVESTMENT RELATED, 1101 WOOTTON PKWY, STE 400 ROCKVILLE, MD 20852, A MARKETING COMPANY TO PROMOTE BROKERAGE SERVICES OFFERED THROUGH EMERSON EQUITY LLC, ASSIST IN 1031 PROGRAM OVERVIEW AND CLIENT ASESSMENTS AND MEETINGS, LESS THAN 10 MONTHLY AND DURING SECURITIES TRADING HOURS, 06/2023
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1988
Experience
Past
June 9, 2023 - August 1, 2025
EMERSON EQUITY LLC
BD
CRD#: 130032
Rockville, MD
Past
November 23, 2020 - May 15, 2023
DAI SECURITIES, LLC
BD
CRD#: 36673
Rockville, MD
Past
June 19, 2012 - August 26, 2025
EAGLESTONE WEALTH ADVISORS, INC.
RIA
CRD#: 141014
ROCKVILLE, MD
Past
September 1, 2009 - November 20, 2020
TRIAD ADVISORS LLC
BD
CRD#: 25803
ROCKVILLE, MD
Past
April 12, 2005 - September 2, 2009
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
Past
March 14, 2000 - February 28, 2007
R&M WEALTH MANAGEMENT SERVICES, LLC
RIA
CRD#: 122229
BETHESDA, MD
Past
January 10, 2000 - May 6, 2005
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
BETHESDA, MD
Past
September 3, 1999 - May 6, 2005
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
March 18, 1999 - August 31, 1999
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
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".
EE
EMERSON EQUITY LLC
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
RIA
Registered Investment Advisory firm - SEC (4/16/2021 Approved)California
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/19/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)New York
Registered Investment Advisory firm - SEC (9/21/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/12/2023 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/16/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 2/1/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EE
EMERSON EQUITY LLC
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
RIA
Registered Investment Advisory firm - SEC (4/16/2021 Approved)California
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/19/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)New York
Registered Investment Advisory firm - SEC (9/21/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/12/2023 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/16/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
155 Bovet Road, Suite 725, San Mateo, CA 94402
Mailing Address
155 Bovet Road, Suite 725, San Mateo, CA 94402
Phone number
(650) 312-0200
Established
California since 10/10/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
222
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
