John L. James
Professional summary
John Lewis James, who also goes by John James II, John James, John Lewis James Ii, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Upper Marlboro, Maryland and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Lewis James's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
IP FINANCIAL ADVISORY SERVICES LLC
July 4, 2023 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210September 17, 2021 - July 7, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 28, 2021 - July 7, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 3, 2014 - July 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 29, 2012 - December 31, 2013
STATE FARM VP MANAGEMENT CORP.
March 13, 2003 - February 27, 2004
PRINCIPAL SECURITIES, INC.
June 11, 2002 - December 20, 2002
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/4/2023)
(7/11/2023)
(8/25/2023)
(9/8/2023)
(7/4/2023)
(7/11/2023)
(6/30/2023)
(7/4/2023)
(6/30/2023)
(7/4/2023)
Exams
Series 7TO
Date: 11/12/2021
General Securities Representative ExaminationSeries 6TO
Date: 8/28/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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