James M. Weiss

WEISS FINANCIAL GROUP

Johnston, IA

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CRD#: 4505490

Professional summary

James Merle Weiss, ChFC® is a registered financial advisor currently at WEISS FINANCIAL GROUP, LLC located in Johnston, Iowa.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 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.

Owner of JW Elite Holdings, Inc. This is a holding company which owns JW Elite Financial, LLC (a Branding Company), JW Elite Insurance, LLC (an Insurance Agency), JW Elite Real Estate and Weiss Financial Group, LLC. Approximately 30% of time is spent outside of Weiss Financial Group, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Merle Weiss'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®

CRD#: 8073

JOHNSTON, IA

Past

February 25, 2005 - July 7, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

April 9, 2003 - July 7, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

March 15, 2002 - March 21, 2003

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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

Iowa
(4/10/2019)

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: 2/22/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/14/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/13/2003

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WEISS FINANCIAL GROUP, LLC

CRD#: 301501 / SEC#:

Iowa

Registered Investment Advisory firm - (4/10/2019 Approved)

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Contact information

Main Address

Ames, IA

Mailing Address

Phone number

(515) 779-0674

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 2,986,279

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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Advisor Monitoring

Firm Stability Insights

James M. Weiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Merle Weiss's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERKLE RETIREMENT PLANNING

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2005

Series 63

Date: 4/14/2003

Series 7

Date: 4/19/2004

Series 6

Date: 3/14/2002

Series 26

Date: 1/13/2003

Current Firm

WEISS FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEISS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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