Darnel D'von James
Professional Summary
Darnel D'von James, who also goes by Darnel James, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Snellville, Georgia and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina. Darnel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Darnel has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Darnel James
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
20 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
Contact Information
Main Address
655 9th Street, Des Moines, IA 50309Mailing Address
711 High Street, Des Moines, IA 50392Phone Number
(866) 412-0770# of Employees
383SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
23,164AUM (Assets Under Management)
$1,422,868,428Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/24/2026 | Cover Page | Report |
| 09/26/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
| 11/20/2023 | Cover Page | Report |
| 09/22/2023 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
State Registrations and Notice Filings
(10/11/2024)
(10/22/2024)
(10/16/2024)
(10/10/2024)
(10/9/2024)
(10/10/2024)
(10/8/2024)
(10/21/2024)
(10/10/2024)
(10/9/2024)
(10/10/2024)
(10/10/2024)
(10/25/2024)
(10/16/2024)
(10/30/2024)
(10/11/2024)
(10/11/2024)
(10/11/2024)
(10/8/2024)
(10/16/2024)
(10/10/2024)
(10/8/2024)
(10/21/2024)
(10/8/2024)
(10/10/2024)
(10/11/2024)
(10/8/2024)
(10/8/2024)
(10/16/2024)
(10/8/2024)
(10/10/2024)
(10/15/2024)
(10/10/2024)
(10/15/2024)
(10/15/2024)
(10/11/2024)
(10/14/2024)
(10/8/2024)
(10/10/2024)
(10/12/2024)
(10/9/2024)
(10/10/2024)
(10/10/2024)
(10/15/2024)
(10/10/2024)
(10/9/2024)
(10/8/2024)
(10/10/2024)
(10/10/2024)
(10/10/2024)
(10/17/2024)
(10/8/2024)
(10/8/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Darnel D'von James's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
