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JW

James J. Walker

Some features on this profile are disabled
CRD#: 4638243
JW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Jack Walker was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2003. James had worked at 3 firms and has passed the Series 65 and Series 63 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 26, 2015 - December 6, 2022

PENN INVESTMENT ADVISORS, INC.

RIA
CRD#: 151715
DOYLESTOWN, PA
Past

February 13, 2014 - January 12, 2015

LONGVIEW CAPITAL MANAGEMENT LLC

RIA
CRD#: 147235
WILMINGTON, DE
Past

March 5, 2003 - December 31, 2004

NATIONAL FINANCIAL ADVISORS INC

RIA
CRD#: 106208
DRESHER, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/27/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/2002
Uniform Securities Agent State Law Examination

Current Firm

PI
PENN INVESTMENT ADVISORS, INC.
EAGLEVIEW ADVISORS, INC. | PENN INVESTMENT ADVISORS, INC. | PAPALIA RETIREMENT PLAN SERVICES | PAPALIA FINANCIAL SERVICES | PAPALIA ASSET MANAGEMENT | FIRST SAVINGS RETIREMENT SERVICES | FIRST SAVINGS FINANCIAL SERVICES, INC. | EAGLEVIEW CAPITAL | EAGLEVIEW ADVISORS, LLC

CRD#: 151715 / SEC#: 801-70683

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Contact information

Main Address
1 Belmont Ave, Bala Cynwyd, PA 19004
Mailing Address
3 Mill Rd. Suite 306, Wilmington, DE 19806
Phone number
+1 (800) 626-1027
Established
Firm type
Fiscal year end
# of Employees
9

Documents

Latest Form ADV

Part 2 Brochures

P. MILLER ADV PART2B (3/30/2023)
P. PONZIO ADV PART2B (3/30/2023)
S. SCHMID ADV PART2B (3/30/2023)
K. HILLER ADV PART 2B (3/30/2023)
PENN INVESTMENT ADVISORS, INC. ADV PART 2A (3/30/2023)
C. SIGETI ADV PART 2B (3/30/2023)
K. DOUGHERTY ADV PART 2B (3/30/2023)
C. WAGNER ADV PART2B (3/30/2023)

Regulatory assets under management

Total Number of Accounts1,139
AUM (Assets Under Management)$ 574,427,667

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.

Company Information

PENN INVESTMENT ADVISORS, INC.

CRD#: 151715

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