JG
James L. Gillis
NORTHWEST ASSET MANAGEMENT
ATHENS, GA 30601
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CRD#: 4710949
JG
Professional summary
James Lester Gillis IV, CFP®, who also goes by James Lester Gillis, Jim Gillis, is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Athens, Georgia.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Lester Gillis | Jim Gillis
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.
1) Georgia Forestry Association. Board Member. Start Date: 2.1.2018. Not investment related. Less that 1 hour per month spent on this activity. None during market hours. 2) Athens Homeless Property Corporation. Athens, GA. Start Date: 8/21/2017. Not Investment Related. Current Board Member. Nature of Business: Supports a facility in local community that provides transitional housing and mental health care services for the homeless. Meet once quarterly to review financial performance of endowment funds and vote on maintenance items related to the facility. Less than 1 hour per month spent on this activity during market hours. 3) ELDORA, INC:NOT INVESTMENT RELATED:2/2015-PRESENT:ATHENS, GA:Personal/Private Investment:0 HRS/MO:0 HRS DURING TRADING:I am a simple shareholder in Eldora, Inc., owning 1/11th of the equity in this entity. This is a real estate holding company that owns 70 acres on the Ogeechee River in south Georgia that was purchased by my great grandfather in the 1930's. 4) Name of Business : No name of business. - Address: Athens, GA - Nature of the Business: Agriculture/Farming - Position/Title: - Investment Related:No - Start Date: 07/25/2017 - Hours per month devoted to this business: 1 - Hour per month devoted to this business during trading hours: 0 - Description of duties: Personally owned timber property. Will be deriving annual recreational lease income from property. 5) Soperton Naval Stores, Inc. - Address: Soperton, GA - Nature of the Business: - Position/Title: President - Investment Related: No - Start Date: 10/25/2016 - Hours per month devoted to this business: 10 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Long-term strategic planning and operations oversight with regard to our timberland assets. Make bi-monthly site visits to the various parcels of land owned by the company. Meet once a month with other officers to discuss general business operations. 6) JG4 Investments, Inc. Address: Athens, GA Nature of the Business: (Owner) Position/Title: Support Company (Owner) Investment Related:Yes Start Date: 01/01/2014 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: JG4 Investments, Inc. is an S-corporation set up for business and tax purposes with respect to my income derived from my status as an independent contractor at Northwest Asset Management. 7) 24th Street Inc. No. 150 Collins Industrial Boulevard Athens, GA 30601 PO Box 49428 Athens, GA 30604. Substance abuse recovery clubhouse. Here is the mission statement: 24th Street's mission is to provide a safe environment of healing, fellowship and support for all 12 step recovery. https://24thstreetathens.com/. Treasurer. 11/3/2025. 5. 0. Attend monthly board meetings, review financials, help with long-term strategic planning to help ensure the long-term financial stability of 24th Street Inc.
CRS (Client Relationship Summary) - RIA
Click below to view James Lester Gillis IV'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®
Experience
Current
June 19, 2020 - Present
NORTHWEST ASSET MANAGEMENT
Office #1: Athens Chamber Of Commerce Building 246 West Hancock Avenue, Athens, GA 30601RIA
CRD#: 147923
ATHENS, GA
Past
June 30, 2009 - June 19, 2020
CARSON ADVISORY GROUP
RIA
CRD#: 117410
ATHENS, GA
Past
May 20, 2009 - July 10, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ATHENS, GA
Past
May 15, 2009 - July 10, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ATHENS, GA
Past
December 16, 2003 - May 20, 2009
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
ATHENS, GA
Past
December 2, 2003 - May 20, 2009
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
ATHENS, GA
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".
NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC
CRD#: 147923 / SEC#: 801-69483
RIA
Registered Investment Advisory firm - (8/20/2008 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.Highlighted states indicate IAR registrations
IAR
Georgia(6/19/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC
CRD#: 147923 / SEC#: 801-69483
RIA
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Contact information
Main Address
2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040
Mailing Address
Phone number
(206) 838-3680
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NORTHWEST ASSET MANAGEMENT
CRD#: 147923Athens, GA 30601TRUST BUT VERIFY
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