James M. Curtis

JAMES CURTIS FINANCIAL AND INSURANCE SERVICES

Costa Mesa, CA 92626

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CRD#: 5557007

Professional summary

James Morgan Curtis, CFP® is a registered financial advisor currently at JAMES CURTIS FINANCIAL AND INSURANCE SERVICES located in Costa Mesa, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

PRESIDENT AND ONLY SHAREHOLDER. JAMES CURTIS ENTERPRISES, INC (S CORPORATION) 23773 FIELDCREST LANE, MURRIETA, CA 92562 NOTE: THE BUSINESS IS NOT INVESTMENT RELATED. MY LAST RESIDENTIAL LILSTING EXPIRES 6/30/2008 WITH A SIX MONTH SAFETY CLAUSE. (1) I HAVE BEEN PROVIDING COMPREHENSIVE FINANCIAL PLANS AS AN INVESTMENT ADVISORY REPRESENTATIVE FOR COLLINS ADVISORY SINCE JANUARY 1, 2009. AS PART OF OUR BUSINESS SUCCESSION PLAN, MOST OF THE COLLINS ADVISORY CLIENTS WILL BE TRANSFERRING TO JCFAIS OVER THE NEXT FIVE YEARS. (2) I HAVE BEEN A LICENSED INSURANCE AGENT IN CALIFORNIA SINCE 2008. I MAY RECEIVE COMMISSIONS FROM LIFE, HEALTH AND LONG-TERM CARE INSURANCE POLICIES AS WELL AS FIXED AND INDEX ANNUITIES. (3) I HAVE BEEN A LICENSED REAL ESTATE BROKER IN CALIFORNIA SINCE 1994. I MAY RECEIVE COMMISSIONS FROM SUCCESSFUL RESIDENTIAL SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Morgan Curtis'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®

CFP^®

Certified Financial Planner

Experience

Current

May 29, 2014 - Present

JAMES CURTIS FINANCIAL AND INSURANCE SERVICES

Office #1: 1700 Adams Avenue Suite 210, Costa Mesa, CA 92626

RIA

CRD#: 169643

Costa Mesa, CA

Past

February 4, 2009 - March 3, 2019

COLLINS ADVISORY

RIA

CRD#: 112085

COSTA MESA, CA

Past

September 30, 2008 - January 12, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

IRVINE, CA

Past

July 22, 2008 - January 12, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

IRVINE, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(5/29/2014)

IAR

Texas
(6/6/2018)

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: 7/30/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/2008

General Securities Representative Examination

Current Firm

JAMES CURTIS FINANCIAL AND INSURANCE SERVICES

JAMES CURTIS ENTERPRISES, INC. | JAMES CURTIS FINANCIAL AND INSURANCE SERVICES

CRD#: 169643 / SEC#:

California

Registered Investment Advisory firm - (5/29/2014 Approved)

Texas

Registered Investment Advisory firm - (6/6/2018 Conditional Restricted)

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Contact information

Main Address

1700 Adams Avenue Suite 210, Costa Mesa, CA 92626

Mailing Address

Phone number

(714) 445-0055

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 89,688,676

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James M. Curtis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Morgan Curtis's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAMES CURTIS FINANCIAL AND INSURANCE SERVICES

COLLINS ADVISORY

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/30/2008

Series 7

Date: 7/21/2008

Current Firm

JAMES CURTIS FINANCIAL AND INSURANCE SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAMES CURTIS FINANCIAL AND INSURANCE SERVICES

TRUST BUT VERIFY

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