James A. Towns
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 Arthur Towns, who also goes by James A Towns III, Jim Towns, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 5 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
April 9, 2017 - January 7, 2021
SOUND FINANCIAL STRATEGIES GROUP, LLC
March 31, 2017 - December 24, 2020
APW CAPITAL, INC.
June 2, 2008 - April 3, 2017
NATIONAL PLANNING CORPORATION
June 2, 2008 - April 3, 2017
NATIONAL PLANNING CORPORATION
August 22, 2007 - June 3, 2008
FINANCIAL STRATEGIES GROUP INC
April 18, 2007 - June 12, 2008
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
SOUND FINANCIAL STRATEGIES GROUP, LLC
CRD#: 286261 / SEC#: 801-108894
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
SOUND FINANCIAL STRATEGIES GROUP, LLC
CRD#: 286261 / SEC#: 801-108894
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,280 |
| AUM (Assets Under Management) | $ 183,723,913 |
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.
