James P. Bertram

BAYNES INVESTMENT COUNSEL LLC

Franklin, TN 37067

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CRD#: 4744062

Professional summary

James Peter Bertram is a registered financial advisor currently at BAYNES INVESTMENT COUNSEL LLC located in Franklin, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. James has worked at 8 firms and has passed the Series 65, Series 66, SIE 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.

Owner and Authorized Person, Red Bird Rentals LLC, rental property located in Florida. Own vacation property which we sometimes rent out while not occupying

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Peter Bertram'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

March 21, 2023 - Present

BAYNES INVESTMENT COUNSEL LLC

Office #1: 3401 Mallory Lane Suite 220, Franklin, TN 37067

RIA

CRD#: 322909

Franklin, TN

Past

March 16, 2020 - January 11, 2023

CNL EDUCATIONAL INSTITUTE, LLC

RIA

CRD#: 175137

Franklin, TN

Past

January 17, 2020 - December 15, 2022

CNL SECURITIES CORP.

CRD#: 10356

ORLANDO, FL

Past

September 1, 2011 - January 21, 2020

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

October 24, 2006 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

October 23, 2006 - January 15, 2020

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

March 5, 2004 - July 11, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LOMBARD, IL

Past

February 18, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 18, 2004 - July 11, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LOMBARD, IL

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

Ohio
(3/21/2023)

IAR

Tennessee
(4/14/2023)

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 65

Date: 3/24/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/4/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2004

General Securities Representative Examination

Current Firm

BAYNES INVESTMENT COUNSEL LLC

CRD#: 322909 / SEC#:

Ohio

Registered Investment Advisory firm - (9/21/2022 Approved)

Tennessee

Registered Investment Advisory firm - (4/13/2023 Approved)

Texas

Registered Investment Advisory firm - (6/13/2023 Approved)

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Contact information

Main Address

801 Cherry Street Ste 2310, Fort Worth, TX 76102

Mailing Address

Phone number

(214) 471-0376

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	389
AUM (Assets Under Management)	$ 95,000,000

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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Advisor Monitoring

Firm Stability Insights

James P. Bertram

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Peter Bertram's CRS (Customer Relationship Summary).

Certified licenses

Experience

CNL EDUCATIONAL INSTITUTE, LLC

CNL SECURITIES CORP.

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/24/2023

Series 66

Date: 3/4/2004

SIE

Date: 10/1/2018

Series 7

Date: 2/17/2004

Current Firm

BAYNES INVESTMENT COUNSEL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAYNES INVESTMENT COUNSEL LLC

TRUST BUT VERIFY

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