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JJ

James W. Jackson

Some features on this profile are disabled
CRD#: 4066006
JJ

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James William Jackson was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2000. James had worked at 4 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

January 16, 2013 - December 31, 2013

RM CAPITAL MANAGEMENT, LLC

RIA
CRD#: 156187
ATLANTA, GA
Past

February 7, 2008 - June 27, 2011

JACKSON SECURITIES LLC

RIA
CRD#: 19897
ATLANTA, GA
Past

February 5, 2008 - June 27, 2011

JACKSON SECURITIES LLC

BD
CRD#: 19897
ATLANTA, GA
Past

June 26, 2003 - December 31, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
MABLETON, GA
Past

June 19, 2003 - December 31, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
MABLETON, GA
Past

November 4, 2002 - June 26, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ATLANTA, GA
Past

January 11, 2000 - June 26, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
RR
IAR
Series 66
Date: 2/16/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2000
General Securities Representative Examination

Current Firm

RC
RM CAPITAL MANAGEMENT, LLC
JACKSON-MCDANIEL ASSET MANAGEMENT, LLC | RM CAPITAL MANAGEMENT, LLC

CRD#: 156187 / SEC#:

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Contact information

Main Address
3206-b Arden Road, Atlanta, GA 30305
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
GeorgiaERA - Withdrawn2/6/2014

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.

Company Information

RM CAPITAL MANAGEMENT, LLC

CRD#: 156187

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