James W Davies
AIF®Professional Summary
James W Davies, AIF®, who also goes by Jim Davies, is a registered financial advisor currently at NAVIGATION WEALTH MANAGEMENT located in Fort Collins, Colorado. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 4 firms and has passed the Series 65, SIE 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
James W Davies, Jim Davies
Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
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.
Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
Credentials
Years of Experience
15 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
Current Firm
NAVIGATION WEALTH MANAGEMENT | NAVIGATION WEALTH MANAGEMENT, INC.
Contact Information
Main Address
2038 Caribou Drive Suite 100, Fort Collins, CO 80525Phone Number
(970) 672-1236# of Employees
8SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,302AUM (Assets Under Management)
$103,175,002Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
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.
Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
Primary Firm SEC Registration
NAVIGATION WEALTH MANAGEMENT | NAVIGATION WEALTH MANAGEMENT, INC.
State Registrations and Notice Filings
(4/26/2016)
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2014About the Series 6 examSimilar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - RIA
Click below to view James W Davies's CRS (Customer Relationship Summary).
Similar Advisors
LPL ENTERPRISE, LLC
PFS INVESTMENTS INC.
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.