James R. Pearson

FINANCIAL STRATEGIES WEALTH MANAGEMENT LLC

Fairhope, AL

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CRD#: 4486441

Professional summary

James Robert Pearson is a registered financial advisor currently at FINANCIAL STRATEGIES WEALTH MANAGEMENT LLC located in Fairhope, Alabama.

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 65 exam.

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.

Independent licensed insurance agent operating as James Robert Pearson. Address: 5 Sibley Square #114, Montrose, AL 36559. Investment-related activity. Approximately 20 hours per month spent on these activities, all during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Pearson'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

April 14, 2014 - Present

FINANCIAL STRATEGIES WEALTH MANAGEMENT LLC

RIA

CRD#: 170530

Fairhope, AL

Past

December 22, 1999 - June 23, 2014

L&L FINANCIAL SERVICES, LLP

RIA

CRD#: 116243

MOBILE, AL

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

Alabama
(4/14/2014)

IAR

Mississippi
(6/12/2014)

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: 12/1/1999

Uniform Investment Adviser Law Examination

Current Firm

FINANCIAL STRATEGIES WEALTH MANAGEMENT LLC

CRD#: 170530 / SEC#:

Alabama

Registered Investment Advisory firm - (4/7/2014 Approved)

Mississippi

Registered Investment Advisory firm - (6/12/2014 Approved)

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Contact information

Main Address

Fairhope, AL

Mailing Address

Po Box 114, Montrose, AL 36559

Phone number

(251) 391-1007

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 23,779,000

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 R. Pearson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Pearson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL STRATEGIES WEALTH MANAGEMENT LLC

L&L FINANCIAL SERVICES, LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/1999

Current Firm

FINANCIAL STRATEGIES WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL STRATEGIES WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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