JR
James L. Royals
THE FIDUCIARY ALLIANCE
High Point, NC 27265
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CRD#: 3198993
JR
Professional summary
James Lee Royals JR, who also goes by Jim Royals, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in High Point, North Carolina and FORTUNE FINANCIAL SERVICES, INC. located in High Point, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Royals
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.
Business Name: Bridgeway Wealth Strategies, LLC Investment Related: Yes Address: 1912 Eastchester DR Ste 110 High Point, NC 27265 Nature of Business: using a DBA name; Consulting; Insurance; Position, Title or Relationship: Partner Start Date: 4/1/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Management and financial planning. Advisory services offered through The Fiduciary Alliance and brokerage services offered through Fortune Financial Services. Business Name: Fortune Financial Services, LLC Investment Related: Yes Address: 3582 Brodhead Rd Ste 202 Monaca, PA 15061 Nature of Business: Brokerage services Position, Title or Relationship: Registered Representative Start Date: 4/1/2024 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: The Fiduciary Alliance, LLC Investment Related: Yes Address: 1912 Eastchester DR Ste 110 High Point, NC 27265 Nature of Business: Investment advisory services Position, Title or Relationship: Investment Advisor Representative Start Date: 4/1/2024 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services
CRS (Client Relationship Summary) - RIA
Click below to view James Lee Royals JR'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
April 1, 2024 - Present
THE FIDUCIARY ALLIANCE
Office #1: 1912 Eastchester Dr Ste 110, High Point, NC 27265RIA
CRD#: 284924
High Point, NC
Current
April 1, 2024 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 1912 Eastchester Drive Suite 110, High Point, NC 27265BD
CRD#: 42150
High Point, NC
Past
April 19, 2016 - March 28, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
High Point, NC
Past
October 26, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
High Point, NC
Past
October 12, 2004 - March 28, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
High Point, NC
Past
March 23, 1999 - October 12, 2004
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
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".
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
Registered Investment Advisory firm - (8/17/2016 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
North Carolina(4/1/2024)
IAR
North Carolina(4/1/2024)
RR
South Carolina(4/1/2024)
RR
Texas(4/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
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Contact information
Main Address
135 S Main St Suite 600, Greenville, SC 29601
Mailing Address
Phone number
(864) 385-7999
Established
Firm type
Fiscal year end
# of Employees
63
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,842 |
| AUM (Assets Under Management) | $ 1,921,956,974 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THE FIDUCIARY ALLIANCE
CRD#: 284924High Point, NC 27265TRUST BUT VERIFY
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