James L. Crowe

CROWE FINANCIAL GROUP LLC

Hillsboro, OH 45133

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CRD#: 4848674

Professional summary

James Lee Crowe, who also goes by James Crowe, is a registered financial advisor currently at CROWE FINANCIAL GROUP LLC located in Hillsboro, Ohio and GRADIENT SECURITIES, LLC located in Hillsboro, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Crowe

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) - RIA

Click below to view James Lee Crowe'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 12, 2018 - Present

CROWE FINANCIAL GROUP LLC

Office #1: 128 North High Street, Hillsboro, OH 45133

RIA

CRD#: 166174

Hillsboro, OH

Current

July 15, 2013 - Present

GRADIENT SECURITIES, LLC

Office #1: 128 North High Street, Hillsboro, OH 45133

RIA

CRD#: 127701

Hillsboro, OH

Past

July 15, 2013 - March 29, 2016

CROWE FINANCIAL GROUP LLC

RIA

CRD#: 166174

HILLSBORO, OH

Past

February 15, 2008 - July 12, 2013

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

HILLSBORO, OH

Past

September 14, 2004 - July 12, 2013

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HILLSBORO, OH

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(12/5/2023)

Indiana
(11/4/2015)

Kentucky
(6/30/2017)

Michigan
(12/5/2023)

Ohio
(7/15/2013)

IAR

Ohio
(3/12/2018)

IAR

Texas
(6/20/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/30/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CROWE FINANCIAL GROUP LLC

CRD#: 166174 / SEC#:

Ohio

Registered Investment Advisory firm - (3/4/2013 Approved)

Texas

Registered Investment Advisory firm - (6/20/2019 Conditional Restricted)

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Contact information

Main Address

128 North High Street, Hillsboro, OH 45133

Mailing Address

Phone number

(937) 393-8788

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	275
AUM (Assets Under Management)	$ 16,240,737

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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James L. Crowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Crowe's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWE FINANCIAL GROUP LLC

GRADIENT SECURITIES, LLC

CROWE FINANCIAL GROUP LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2008

Series 63

Date: 9/23/2004

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2004

FINRA

Current Firm

CROWE FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CROWE FINANCIAL GROUP LLC

TRUST BUT VERIFY

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