James R. George

BROWN CAPITAL MANAGEMENT

Little Rock, AR 72211

Some features on this profile are disabled

CRD#: 3273693

Professional summary

James Raymond George is a registered financial advisor currently at BROWN CAPITAL MANAGEMENT, LLC located in Little Rock, Arkansas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. James has worked at 6 firms and has passed the Series 65, Series 66, Series 31 and Series 7 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.

At JDJ Advisors Jim spends 10-20 hours per week helping clients in central Arkansas with life insurance needs using term, fixed, or indexed insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Raymond George'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®

None

Experience

Current

June 10, 2019 - Present

BROWN CAPITAL MANAGEMENT, LLC

Office #1: 10816 Executive Center Dr. Suite 103, Little Rock, AR 72211

RIA

CRD#: 174101

Little Rock, AR

Past

February 20, 2012 - June 11, 2013

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956

RUSSELLVILLE, AR

Past

February 2, 2009 - September 23, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LITTLE ROCK, AR

Past

September 27, 2007 - March 19, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

December 5, 2002 - November 8, 2005

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

September 14, 1999 - May 23, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

BROWN CAPITAL MANAGEMENT, LLC

CRD#: 174101 / SEC#: 801-130056

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Arkansas

Registered Investment Advisory firm - (4/30/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (12/15/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/14/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arkansas
(6/10/2019)

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 65

Date: 6/10/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/4/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 10/15/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/13/1999

General Securities Representative Examination

Current Firm

BROWN CAPITAL MANAGEMENT, LLC

CRD#: 174101 / SEC#: 801-130056

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Arkansas

Registered Investment Advisory firm - (4/30/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (12/15/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/14/2021 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10816 Executive Center Dr. Suite 103, Little Rock, AR 72211

Mailing Address

Phone number

(501) 503-0001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2B - J BROWN (4/1/2025)

ADV 2A (4/1/2025)

ADV 2B - D ROLLE (4/1/2025)

ADV 2B - J GEORGE (4/1/2025)

ADV 2B - KHITT - BROWN CAPITAL MANAGEMENT (4/1/2025)

Regulatory assets under management

Total Number of Accounts	677
AUM (Assets Under Management)	$ 179,564,761

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.

Similar Advisors

Chad Carlson

LPL FINANCIAL LLC

IAR

Little Rock, AR

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James R. George

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Raymond George's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. BERNARD FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

1717 CAPITAL MANAGEMENT COMPANY

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

BROWN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/2019

Series 66

Date: 10/4/1999

Series 31

Date: 10/15/1999

Series 7

Date: 9/13/1999

Current Firm

BROWN CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROWN CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors