JJ
John D. James
COPPER FINANCIAL
St Louis, MO 63146
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CRD#: 5408754
JJ
Professional summary
John Douglas James, who also goes by Doug James, is a registered financial advisor currently at COPPER FINANCIAL located in St Louis, Missouri.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. John has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug James
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Douglas James's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Douglas James's CRS (Customer Relationship Summary).
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
Current
September 28, 2023 - Present
COPPER FINANCIAL
Office #1: 1850 Craigshire Drive Suite 203, St Louis, MO 63146RIA
BD
CRD#: 168203
St Louis, MO
Current
September 28, 2023 - Present
COPPER FINANCIAL
Office #1: 1850 Craigshire Drive Suite 203, St Louis, MO 63146RIA
BD
CRD#: 168203
St Louis, MO
Past
December 2, 2016 - September 29, 2023
EDWARD JONES
RIA
CRD#: 250
ST LOUIS, MO
Past
November 28, 2016 - September 29, 2023
EDWARD JONES
BD
CRD#: 250
ST LOUIS, MO
Past
May 30, 2014 - December 2, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
ST LOUIS, MO
Past
May 29, 2014 - December 2, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
February 13, 2013 - November 13, 2013
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MEMPHIS, TN
Past
February 13, 2013 - November 13, 2013
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MEMPHIS, TN
Past
December 19, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
MEMPHIS, TN
Past
October 9, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Missouri(9/28/2023)
RR
Missouri(10/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Mailing Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Phone number
(913) 905-8116
Established
Missouri since 11/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
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
COPPER FINANCIAL
CRD#: 168203St Louis, MO 63146TRUST BUT VERIFY
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