JS
James F. Simpson
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CRD#: 5387007
JS
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 Fraser Simpson was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2009. James had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
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.
(1)I am registered representative of First Republic Securities Company, LLC, an SEC and FINRA registered broker-dealer. I am an employee of First Republic Bank. The majority of my time is devoted activities of First Republic Bank. First Republic Securities Company, LLC is a wholly owned subsidiary of First Republic Bank. I will be able to receive compensation from First Republic Securities Company, LLC for certain brokerage products and services referred. (2) Name/Address: Call of The Sea, Sausalito CA; Investment-related: No Nature of the business: educational nonprofit 501(C3) organization; Role: treasurer & have assumed the role of interim Chairmen of the Board of Directors; Description of duties: Board related duties Start Date: 9/19/2018 Number of hours each month: 8 hours Number of hours during trading: 0 3) Name: National Aircraft Finance Association Address: PO Box 1570 Edgewater, MD 21037 Investment-related: No Nature of the business: The NAFA is a member association comprised of companies who work together to finance general and business aviation Role: Vice President Start Date: 06/15/2020 Description of duties: Attend 2 meetings per year and quarterly Board of Directors meetings Number of hours each month: 2 Number of hours during trading: 0 4) Name: California Maritime Academy Foundation Address: 200 Maritime Academy Drive Vallejo CA 94590 Investment-related: No Nature of the business: The California State University Maritime Academy a public university in Vallejo California. Role: Board of Directors Start Date: 11/01/2021 Description of duties: Board of Directors attend monthly Board meetings and discuss the business and foundation activities. Number of hours each month: 3 Number of hours during trading: 0 5) Name: Marin Yacht Club Address: 24 Summit Ave, San Rafael, California 94901 Investment-related: No Nature of the business: Yacht Club Role: Board of Director Start Date: 11/01/2021 Description of duties: Attend monthly Board meetings and discuss the business and membership aspects of the club. Number of hours each month: 3 Number of hours during trading: 0 6) Name: Rubicon Yachts Address: 3300 Powell St, Suite 105, Emeryville, CA 94608 Investment-related: No Nature of the business: Yacht Sales for Yacht Brokerage Role: Sales Associate Start Date: 02/01/2022 Description of duties: Sales Number of hours each month: 3 Number of hours during trading: 0
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®
NoneExperience
Past
January 15, 2020 - May 18, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
San Francisco, CA
Past
April 17, 2009 - May 18, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
SAN FRANCISCO, 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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
JM
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
FIRST REPUBLIC INVESTMENT MANAGEMENT | TRAINER WORTHAM & CO INC | LUMINOUS CAPITAL A DIVISION OF FIRST REPUBLIC INVESTMENT MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | FIRST REPUBLIC PRIVATE WEALTH MANAGEMENT | FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.
CRD#: 108559 / SEC#: 801-56293
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Contact information
Main Address
1 Front Street, San Francisco, CA 94111-5602
Mailing Address
Phone number
(415) 392-1400
Established
Firm type
Fiscal year end
# of Employees
690
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
