James R. Edwards
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 Robert Edwards, who also goes by Robby Edwards, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2010. James had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2012 - June 25, 2019
COMMONWEALTH FINANCIAL ADVISORS, LLC
June 19, 2012 - November 16, 2015
SOUTHEAST INVESTMENTS, N.C., INC.
June 14, 2010 - June 19, 2012
EDWARD JONES
April 26, 2010 - June 19, 2012
EDWARD JONES
March 12, 2010 - April 30, 2010
QUEST CAPITAL STRATEGIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMMONWEALTH FINANCIAL ADVISORS, LLC
CRD#: 146396 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 1,355,482 |
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.
