James C. Farris

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CRD#: 4847346

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 Childs Farris was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

October 24, 2013 - April 21, 2017

FARRIS CAPITAL MANAGEMENT INC.

RIA

CRD#: 169051

DALLAS, TX

Past

April 27, 2010 - December 31, 2013

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DALLAS, TX

Past

April 27, 2010 - April 3, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

DALLAS, TX

Past

June 8, 2005 - May 3, 2010

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

DALLAS, TX

Past

December 2, 2004 - May 3, 2010

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

DALLAS, TX

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".

FARRIS CAPITAL MANAGEMENT INC.

(DOING BUSINESS AS) THE FARRIS GROUP | FARRIS CAPITAL MANAGEMENT LLC | FARRIS CAPITAL MANAGEMENT INC.

CRD#: 169051 / SEC#: 801-123391

RIA

Registered Investment Advisory firm - (3/8/2022 Approved)

Louisiana

Registered Investment Advisory firm - (4/26/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2022 Terminated)

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).

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.

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: 1/29/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2004

General Securities Representative Examination

Current Firm

FARRIS CAPITAL MANAGEMENT INC.

(DOING BUSINESS AS) THE FARRIS GROUP | FARRIS CAPITAL MANAGEMENT LLC | FARRIS CAPITAL MANAGEMENT INC.

CRD#: 169051 / SEC#: 801-123391

RIA

Registered Investment Advisory firm - (3/8/2022 Approved)

Louisiana

Registered Investment Advisory firm - (4/26/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2022 Terminated)

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Contact information

Main Address

4425 Plano Pkwy Ste. 1701, Carrollton, TX 75010

Mailing Address

Phone number

(214) 525-2141

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FARRIS CAPITAL ADV PART 2A DISCLOSURE BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts	848
AUM (Assets Under Management)	$ 154,107,202

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 C. Farris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FARRIS CAPITAL MANAGEMENT INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

FARRIS CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2005

SIE

Date: 4/3/2017

Series 7

Date: 12/1/2004

Current Firm

FARRIS CAPITAL MANAGEMENT INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARRIS CAPITAL MANAGEMENT INC.

TRUST BUT VERIFY

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