Ian T. James

SWBC INVESTMENT ADVISORY SERVICES

Austin, TX 78746

CRD#: 5793067

Some features on this profile are disabled

Professional summary

Ian T James is a registered financial advisor currently at SWBC INVESTMENT ADVISORY SERVICES LLC located in Austin, Texas.

Ian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ian has worked at 4 firms and has passed the Series 65, Series 66, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian T James'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®

None

Experience

Current

April 15, 2026 - Present

SWBC INVESTMENT ADVISORY SERVICES LLC

Office #1: 900 South Capital Of Texas Ste 155, Austin, TX 78746

RIA

CRD#: 156155

Austin, TX

Past

April 21, 2025 - March 12, 2026

FORUSALL

RIA

CRD#: 167241

Miami, FL

Past

May 31, 2016 - May 21, 2024

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

December 17, 2012 - May 31, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WASHINGTON, DC

Past

November 5, 2011 - May 31, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WASHINGTON, DC

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".

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 Approved)

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

Texas
(4/15/2026)

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 65

Date: 10/22/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/12/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2011

General Securities Representative Examination

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

900 South Capital Of Texas Ste 155, Austin, TX 78746

Mailing Address

Phone number

(512) 807-2606

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SWBC RETIREMENT PLAN SERVICES FORM ADV PART 2A (3/30/2025)

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.

Similar Advisors

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

AUSTIN, TX

James Rushing

VOYA FINANCIAL ADVISORS, INC.

IAR

AUSTIN, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ian T. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian T James's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORUSALL

ADP BROKER-DEALER, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SWBC INVESTMENT ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2024

Series 66

Date: 12/12/2012

SIE

Date: 10/1/2018

Series 7

Date: 11/4/2011

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SWBC INVESTMENT ADVISORY SERVICES LLC

TRUST BUT VERIFY

Similar Advisors