James C. Puckett Jr.
Professional Summary
James C. Puckett JR., who also goes by James C Puckett, James Chappell Puckett Jr, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Birmingham, Alabama. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James C Puckett, James Chappell Puckett Jr
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
15 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
Current Firm
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
Contact Information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628Phone Number
(706) 649-2327Established
Georgia since 06/27/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
280SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PINNACLE FINANCIAL PARTNERS INC. | SYNOVUS SECURITIES, INC. PARENT | — |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MACHARIA, MWANGI JOHN | DEPUTY CHIEF COMPLIANCE OFFICER | 2723756 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory Assets Under Management
Total Number of Accounts
12,411AUM (Assets Under Management)
$8,445,083,014Disclosures
Regulatory Event
10Arbitration
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/22/2025 | Cover Page | Report |
| 11/22/2024 | Cover Page | Report |
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
State Registrations and Notice Filings
(5/3/2021)
(5/3/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view James C. Puckett JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James C. Puckett JR.'s CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
J. W. COLE ADVISORS, INC.
THE MARSHALL FINANCIAL GROUP LLC
RBC CAPITAL MARKETS, LLC