Gary W. James

SUMMIT WEALTH GROUP

MERIDIAN, MS 39305

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CRD#: 4164279

Professional summary

Gary Wayne James, AIF®, CFP® is a registered financial advisor currently at SUMMIT WEALTH GROUP located in Meridian, Mississippi.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Gary has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.

1. Fixed insurance sales, as of 02/01/2014, 1% of time spent during business hours, conducted at branch, investment related. 2. Summit Wealth Group, vice president and co- owner of private entity created as operating company for securities, investment advisory, and insurance businesses, as of November, 2015, 98% of time spent during business hours, conducted at branch, investment related. 3. Precept Properties, LLC, president and owner of private real estate holding company for leasing and managing property located in TN, as of 11/11/2013, 1% of time spent during business hours, not conducted at branch, not investment related. 4. Co-owner, Summit Advisor Marketing, LLC; marketing company; Located in Dillon, CO; as of 7/07/2022; 2% of time spent during business hours; Not conducted at branch location; Not investment related. 5. Owner, Precepts Wealth Management, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2024; 95% time spent during business hours; Conducted at branch; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Wayne James'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

May 5, 2025 - Present

SUMMIT WEALTH GROUP

Office #1: 4815 North Park Drive, Meridian, MS 39305

RIA

CRD#: 335242

MERIDIAN, MS

Past

January 31, 2014 - May 5, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

MERIDIAN, MS

Past

January 31, 2014 - May 5, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MERIDIAN, MS

Past

February 16, 2007 - February 25, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

MERIDIAN, MS

Past

February 16, 2007 - February 25, 2014

LPL FINANCIAL LLC

CRD#: 6413

MERIDIAN, MS

Past

August 14, 2000 - March 14, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MERIDIAN, MS

Past

August 14, 2000 - March 14, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MERIDIAN, MS

Past

May 5, 2000 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, 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".

SUMMIT WEALTH GROUP

SUMMIT WEALTH GROUP | SUMMIT WEALTH GROUP, INC. | SUMMIT WEALTH GROUP LLC

CRD#: 335242 / SEC#: 801-132262

RIA

Registered Investment Advisory firm - (3/27/2025 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.

Highlighted states indicate IAR registrations

IAR

Mississippi
(5/5/2025)

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: 5/12/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/2007

General Securities Principal Examination

Current Firm

SUMMIT WEALTH GROUP

SUMMIT WEALTH GROUP | SUMMIT WEALTH GROUP, INC. | SUMMIT WEALTH GROUP LLC

CRD#: 335242 / SEC#: 801-132262

RIA

Registered Investment Advisory firm - (3/27/2025 Approved)

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Contact information

Main Address

13710 Struthers Road, Suite 115, Colorado Springs, CO 80921

Mailing Address

Phone number

(719) 633-4033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUMMIT WEALTH GROUP DISCLOSURE BROCHURE (7/21/2025)

Regulatory assets under management

Total Number of Accounts	4,911
AUM (Assets Under Management)	$ 1,353,760,295

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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Firm Stability Insights

Gary W. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Wayne James's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

Primary Firm SEC Registration

SUMMIT WEALTH GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/4/2000

Series 24

Date: 4/20/2007

Current Firm

SUMMIT WEALTH GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT WEALTH GROUP

TRUST BUT VERIFY

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