James A. Threlkeld

SUMMIT FINANCIAL GROUP

ROME, GA 30161

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CRD#: 4065073

Professional summary

James Allison Threlkeld, who also goes by Al Threlkeld, is a registered financial advisor currently at SUMMIT FINANCIAL GROUP, LLC located in Rome, Georgia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. James has worked at 2 firms and has passed the Series 66 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Al Threlkeld

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.

MR. THRELKELD IS ALSO A CONSULTANT (FORMERLY A PARTNER) OF HAYNES & MOORE, LLC, AN ACCOUNTING FIRM. THE AMOUNT OF TIME SPENT ONTHE ACCOUNTING BUSINESS VARIES, AND INCREASES DURING TAX SEASON.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allison Threlkeld'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®

None

Experience

Current

May 2, 2003 - Present

SUMMIT FINANCIAL GROUP, LLC

Office #1: 901 North Broad Street Suite 450, Rome, GA 30161

RIA

CRD#: 125144

ROME, GA

Past

November 30, 1999 - May 17, 2000

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

CHICAGO, IL

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

Georgia
(5/2/2003)

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 66

Date: 12/28/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 11/29/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SUMMIT FINANCIAL GROUP, LLC

CRD#: 125144 / SEC#:

Georgia

Registered Investment Advisory firm - (5/11/2000 Approved)

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Contact information

Main Address

901 North Broad Street Suite 450, Rome, GA 30161-5208

Mailing Address

Phone number

(706) 291-9966

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	119
AUM (Assets Under Management)	$ 20,996,748

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.

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James A. Threlkeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allison Threlkeld's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT FINANCIAL GROUP, LLC

OGILVIE SECURITY ADVISORS CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/1999

Series 6

Date: 11/29/1999

Current Firm

SUMMIT FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SUMMIT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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