Dee W. James

TFB ADVISORS

Granbury, TX

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CRD#: 4525217

Professional summary

Dee William James is a registered financial advisor currently at TFB ADVISORS, LLC located in Granbury, Texas and AMERITAS INVESTMENT COMPANY, LLC located in Granbury, Texas.

Dee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Dee has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.

TAX FAVORED BENEFITS; SAME AS BRANCH; INV REL; FIXED INSURANCE 401(k) SERVICE; START DATE=05/2004; HRS/MO=168; TRADING HRS/MO=168; SALES * 3J Financial LLC; same as branch; inv rel; primarily sale and servicing of 401(k) plans; Owner; start date=01/2021; hrs/mo=50; trading hrs/mo=35; investment professional primarily dealing in the sale and servicing of 401(k) plans * TFB Advisors, LLC; same as branch; inv rel; Independent RIA; Investment Advisory Representative; start date=08/2022; hrs/mo=10; trading hrs/mo=8; IAR of hybrid RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dee William 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®

None

Experience

Current

August 2, 2022 - Present

TFB ADVISORS, LLC

RIA

CRD#: 321870

Granbury, TX

Current

June 30, 2006 - Present

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

GRANBURY, TX

Past

November 1, 2021 - June 30, 2023

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

GRANBURY, TX

Past

June 30, 2006 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

MANHATTAN, KS

Past

November 23, 2005 - June 30, 2006

CARILLON INVESTMENTS, INC.

RIA

CRD#: 14646

MANHATTAN, KS

Past

July 13, 2005 - June 30, 2006

CARILLON INVESTMENTS, INC.

CRD#: 14646

MANHATTAN, KS

Past

July 10, 2002 - May 20, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

MANHATTAN, KS

Past

June 7, 2002 - May 20, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

TFB ADVISORS, LLC

CRD#: 321870 / SEC#: 801-126142

RIA

Registered Investment Advisory firm - (7/21/2022 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kansas
(6/30/2006)

IAR

Kansas
(8/2/2022)

Missouri
(6/30/2006)

Nebraska
(6/30/2006)

New Mexico
(12/4/2017)

Oklahoma
(6/30/2006)

Texas
(9/25/2006)

IAR

Texas
(8/2/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/9/2002

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: 6/6/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TFB ADVISORS, LLC

CRD#: 321870 / SEC#: 801-126142

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

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Contact information

Main Address

4801 West 110th Street Suite 200, Overland Park, KS 66211

Mailing Address

Phone number

(913) 648-5526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR TFB ADVISORS, LLC (9/24/2025)

Regulatory assets under management

Total Number of Accounts	3,047
AUM (Assets Under Management)	$ 859,559,702

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

Dee W. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dee William James's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS ADVISORY SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

CARILLON INVESTMENTS, INC.

CARILLON INVESTMENTS, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

TFB ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2002

FINRA

Current Firm

TFB ADVISORS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TFB ADVISORS, LLC

TRUST BUT VERIFY

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