Thomas Eugene James
CFP®, CIMA®Professional Summary
Thomas Eugene James, CFP®, CIMA®, who also goes by Thomas E James, is a registered financial advisor currently at EPG WEALTH MANAGEMENT LLC located in Whitsett, North Carolina. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Thomas has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas E James
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
EAST PACES GROUP | KINSHIP WEALTH PARTNERS | EPG WEALTH MANAGEMENT LLC
Contact Information
Main Address
309 East Paces Ferry Rd Ne Ste 900, Atlanta, GA 30305Phone Number
(404) 809-3680# of Employees
14SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,194AUM (Assets Under Management)
$579,086,058Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
EAST PACES GROUP | KINSHIP WEALTH PARTNERS | EPG WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(12/21/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Mar 2011Series 22 — Direct Participation Programs Representative Examination
Passed Aug 2008About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2008About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Eugene James's CRS (Customer Relationship Summary).
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