James V. Willis

BEACON BAY ASSET MANAGEMENT LLC

Peoria, AZ

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CRD#: 4573862

Professional summary

James Virgil Willis is a registered financial advisor currently at BEACON BAY ASSET MANAGEMENT LLC located in Peoria, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 3 firms and has passed the Series 66 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.

CONDUCT EDUCATIONAL ONLY SEMINARS ON HOW TO CREATE INCOME FROM A PORTFOLIO USING CREDIT SPREADS ON INDEXES. THE SEMINARS ARE CONDUCTED IN VARIOUS CITIES AND REQUIRE A FEE FOR ADMISSION AND ARE SCHEDULED ON WEEKENDS. NO CONFLICT WITH EXISTING BUSINESS AT BEACON BAY ASSET MGMT LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Virgil Willis'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

December 7, 2006 - Present

BEACON BAY ASSET MANAGEMENT LLC

RIA

CRD#: 142207

Peoria, AZ

Past

May 12, 2005 - December 31, 2006

FRONTLINE ADVISORS

RIA

CRD#: 134959

DALLAS, TX

Past

October 16, 2002 - May 17, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

DENTON, TX

Past

October 15, 2002 - May 17, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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

Arizona
(4/10/2013)

IAR

California
(5/17/2013)

IAR

Texas
(12/7/2006)

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 66

Date: 10/15/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/14/2002

General Securities Representative Examination

Current Firm

BEACON BAY ASSET MANAGEMENT LLC

CRD#: 142207 / SEC#:

Arizona

Registered Investment Advisory firm - (4/10/2013 Approved)

California

Registered Investment Advisory firm - (5/16/2013 Approved)

Georgia

Registered Investment Advisory firm - (12/31/2016 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2006 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Peoria, AZ

Mailing Address

Phone number

(972) 841-8119

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 26,600,000

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 V. Willis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Virgil Willis's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEACON BAY ASSET MANAGEMENT LLC

FRONTLINE ADVISORS

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2002

Series 7

Date: 10/14/2002

Current Firm

BEACON BAY ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BEACON BAY ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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