James G. Unger

DBK FINANCIAL COUNSEL

Cuyahoga Falls, OH 44223

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CRD#: 5580380

Professional summary

James Glenwright Unger, CFP® is a registered financial advisor currently at DBK FINANCIAL COUNSEL, LLC located in Cuyahoga Falls, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 7 firms and has passed the Series 63, SIE 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.

1)01/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - ZOYHOFSKI FINANCIAL SERVICES, LLC - INVESTMENT RELATED - CANTON, OH 44721 2)01/2008 - NON-VARIABLE INSURANCE - JAMES UNGER - INVESTMENT RELATED - CANTON, OH 44721 3)01/2015 - TAX PREP/ACCOUNTING/CPA - JAMES UNGER - INVESTMENT RELATED - WALTON HILLS, OH 44146 4)12/2020 - OTHER - CHESTNUT TREE FARM - 0% - NOT INVESTMENT RELATED - WALTON HILLS, OH 44114 5)12/2020 - OTHER - HOCKEY COACH - 0% - NOT INVESTMENT RELATED - WALTON HILLS, OH 44114

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Glenwright Unger's CRS (Customer Relationship Summary).

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

Start date: 2017

Experience

Current

May 14, 2024 - Present

DBK FINANCIAL COUNSEL, LLC

Office #1: 198 W. Portage Trail Ext. Ste. 105, Cuyahoga Falls, OH 44223

RIA

CRD#: 170688

Cuyahoga Falls, OH

Past

May 24, 2022 - June 10, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

CANTON, OH

Past

January 12, 2021 - June 10, 2024

LPL FINANCIAL LLC

CRD#: 6413

CANTON, OH

Past

July 2, 2018 - August 12, 2020

LION STREET FINANCIAL, LLC

CRD#: 165828

Cleveland, OH

Past

November 1, 2017 - July 2, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CLEVELAND, OH

Past

March 9, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

CLEVELAND, OH

Past

April 16, 2012 - January 30, 2015

MORGAN STANLEY

RIA

CRD#: 149777

COLUMBUS, OH

Past

March 23, 2012 - January 30, 2015

MORGAN STANLEY

CRD#: 149777

COLUMBUS, OH

Past

August 11, 2008 - July 18, 2011

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

AKRON, OH

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".

DBK FINANCIAL COUNSEL, LLC

DBK FINANCIAL COUNSEL, LLC | KEARNS, DAVID B

CRD#: 170688 / SEC#: 801-123343

RIA

Registered Investment Advisory firm - (2/28/2022 Approved)

Florida

Registered Investment Advisory firm - (4/28/2022 Terminated)

Ohio

Registered Investment Advisory firm - (5/2/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(5/14/2024)

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

Series 63

Date: 2/20/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2008

General Securities Representative Examination

Current Firm

DBK FINANCIAL COUNSEL, LLC

DBK FINANCIAL COUNSEL, LLC | KEARNS, DAVID B

CRD#: 170688 / SEC#: 801-123343

RIA

Registered Investment Advisory firm - (2/28/2022 Approved)

Florida

Registered Investment Advisory firm - (4/28/2022 Terminated)

Ohio

Registered Investment Advisory firm - (5/2/2022 Terminated)

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Contact information

Main Address

198 W. Portage Trail Ext. Ste. 105, Cuyahoga Falls, OH 44223

Mailing Address

Phone number

(330) 923-3038

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	187
AUM (Assets Under Management)	$ 159,475,340

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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James G. Unger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Glenwright Unger's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LION STREET FINANCIAL, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

DBK FINANCIAL COUNSEL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/20/2010

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2008

Current Firm

DBK FINANCIAL COUNSEL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DBK FINANCIAL COUNSEL, LLC

TRUST BUT VERIFY

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