James W. Burris

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CRD#: 4841281

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 Wilson Burris, who also goes by James W. Burris, Jim Burris, Jimmy Burris, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James W. Burris | Jim Burris | Jimmy Burris

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. Live Oak Wealth Management. Investment related. 7020 Highway 190 West, Ste. A, Covington, LA 70433. Advisory. Investment Advisory Representative. 02/2020. 20 hrs/mnth. 20 hrs/trading hrs. Financial Advisor managing fee-based advisory business, asset management related. 2. Fixed Insurance. Not investment related. 7020 Highway 190, Suite A, Covington, LA 70433. Selling insurance products. Agent. 03/2005. 4 hrs/mnth. 2 hrs/trading hrs. Sales Agent of insurance products.

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

February 28, 2020 - July 25, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Covington, LA

Past

February 3, 2020 - August 8, 2023

LIVE OAK WEALTH MANAGEMENT, LLC

RIA

CRD#: 306225

COVINGTON, LA

Past

November 29, 2011 - February 3, 2020

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

COVINGTON, LA

Past

November 29, 2011 - February 3, 2020

SECURITIES AMERICA, INC.

CRD#: 10205

COVINGTON, LA

Past

February 24, 2010 - December 5, 2011

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

MANDEVILLE, LA

Past

October 14, 2009 - January 29, 2010

LIVE OAK ADVISORY GROUP, LLC

RIA

CRD#: 118355

MANDEVILLE, LA

Past

August 27, 2008 - December 5, 2011

WALNUT STREET SECURITIES, INC.

CRD#: 15840

MANDEVILLE, LA

Past

February 21, 2006 - July 14, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 22, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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 66

Date: 11/23/2004

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: 10/21/2004

General Securities Representative Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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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Firm Stability Insights

James W. Burris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIVE OAK WEALTH MANAGEMENT, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

WALNUT STREET SECURITIES, INC.

LIVE OAK ADVISORY GROUP, LLC

WALNUT STREET SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 11/23/2004

SIE

Date: 10/1/2018

Series 7

Date: 10/21/2004

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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