Laura M. James

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CRD#: 5464732

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.

Laura Mahoney James, CFP®, who also goes by Laura Ann Mahoney, was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 2008. Laura had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Laura Ann Mahoney

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.

Blog Corner

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®

CFP^®

Certified Financial Planner

Experience

Past

October 19, 2015 - September 7, 2017

CAPITAL ADVISORS, INC.

RIA

CRD#: 104643

Birmingham, AL

Past

September 8, 2011 - May 18, 2012

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

BIRMINGHAM, AL

Past

September 6, 2011 - May 18, 2012

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

April 23, 2010 - September 2, 2011

CETERA ADVISORS LLC

RIA

CRD#: 10299

BIRMINGHAM, AL

Past

April 23, 2010 - September 2, 2011

CETERA ADVISORS LLC

CRD#: 10299

BIRMINGHAM, AL

Past

April 22, 2008 - April 21, 2010

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

BIRMINGHAM, AL

Past

April 10, 2008 - April 11, 2008

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

BIRMINGHAM, AL

Past

March 24, 2008 - April 13, 2010

FSC SECURITIES CORPORATION

CRD#: 7461

BIRMINGHAM, AL

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".

CAPITAL ADVISORS, INC.

CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.

CRD#: 104643 / SEC#: 801-14050

RIA

Registered Investment Advisory firm - (9/18/1978 Approved)

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.

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

State Security Law Exam

IAR

Series 66

Date: 4/9/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/2008

General Securities Representative Examination

Current Firm

CAPITAL ADVISORS, INC.

CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.

CRD#: 104643 / SEC#: 801-14050

RIA

Registered Investment Advisory firm - (9/18/1978 Approved)

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Contact information

Main Address

2222 South Utica Place Suite 300, Tulsa, OK 74114

Mailing Address

Phone number

(866) 230-5879

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

09 18 2025 CAI FORM ADV PART 2A FINAL (9/18/2025)

Regulatory assets under management

Total Number of Accounts	7,297
AUM (Assets Under Management)	$ 6,146,880,645

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.

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Advisor Monitoring

Firm Stability Insights

Laura M. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2008

Series 7

Date: 3/21/2008

Current Firm

CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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