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JM

James R. Moody

Some features on this profile are disabled
CRD#: 5379643
JM

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 Ryan Moody was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2007. James had worked at 4 firms and has passed the Series 66, Series 82TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Upwelling Capital Group, LLC. 2800 5th St Davis CA 95618 (530) 758 - 7888 Upwelling Capital Group is an advisory and investment management firm that provides customized strategies and solutions to for institutional alternative investors. We provide our clients and investors with analytics to evaluate new investment strategies, specific funds or direct investment opportunities. In addition, we address and provide solutions to legacy asset concerns. Started April 2016. Investment related. Associate. I analyze private equity portfolios to find critical issues and problematic investments within a portfolio and create presentations detailing analysis to highlight key issues. Occasionally, I communicate with third parties to gather information for analysis and/or clarify questions about the analysis. 160 hours per month until October 2016, then 80 hours per month from October 2016 through June 2017 while I finish my MBA. Starting June 2017, I plan to return to 160 hours per month. All during business hours.

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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

January 19, 2017 - June 9, 2022

UPWELLING CAPITAL GROUP LLC

RIA
CRD#: 164653
DAVIS, CA
Past

December 23, 2016 - December 31, 2016

UPWELLING CAPITAL GROUP LLC

RIA
CRD#: 164653
DAVIS, CA
Past

September 13, 2016 - January 25, 2022

BRIDGE CAPITAL ASSOCIATES, INC.

BD
CRD#: 143475
Davis, CA
Past

October 16, 2013 - August 7, 2015

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
APTOS, CA
Past

August 24, 2007 - August 5, 2013

OSAIC FA, INC.

RIA
CRD#: 3978
IRVINE, CA
Past

August 24, 2007 - August 5, 2013

OSAIC FA, INC.

BD
CRD#: 3978
IRVINE, CA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/26/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/2007
General Securities Representative Examination

Current Firm

UC
UPWELLING CAPITAL GROUP LLC
UPWELLING CAPITAL GROUP LLC

CRD#: 164653 / SEC#: 802-132842

RIA
Registered Investment Advisory firm - (3/26/2025 Terminated)
California
Registered Investment Advisory firm - (4/30/2023 Terminated)
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Contact information

Main Address
2820 5th St., Davis, CA 95618
Mailing Address
Phone number
(530) 758-7888
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 A AND B (3/29/2024)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Active4/23/2025

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.

Company Information

UPWELLING CAPITAL GROUP LLC

CRD#: 164653

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