James C. Alfonso

ELLIS FINANCIAL PLANNING

CLARKSVILLE, TN 37043

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CRD#: 5985662

Professional summary

James Cole Alfonso is a registered financial advisor currently at ELLIS FINANCIAL PLANNING located in Clarksville, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. James has worked at 5 firms and has passed the 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.

Ellis & Company Not investment related Clarksville, TN DBA/Support Company Advisor 4/2024 0 hrs per month 0 hrs during trading hrs

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Cole Alfonso'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®

None

Experience

Current

December 16, 2024 - Present

ELLIS FINANCIAL PLANNING

Office #1: 2681 Townsend Ct., Clarksville, TN 37043

RIA

CRD#: 333092

CLARKSVILLE, TN

Past

April 30, 2024 - October 31, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Clarksville, TN

Past

April 30, 2024 - October 31, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CLARKSVILLE, TN

Past

November 30, 2017 - May 8, 2024

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

Clarksville, TN

Past

November 30, 2017 - May 8, 2024

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

July 4, 2016 - December 10, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEWICKLEY, PA

Past

October 20, 2014 - December 10, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEWICKLEY, PA

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".

ELLIS FINANCIAL PLANNING

BRAMBLE WEALTH PLANNING | GOOD STEWARD WEALTH ADVISERS LLC | ELLIS FINANCIAL PLANNING | BRAMBLE WEALTH PLANNING LLC

CRD#: 333092 / SEC#: 801-131209

RIA

Registered Investment Advisory firm - (9/30/2024 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

Tennessee
(12/16/2024)

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

IAR

Series 66

Date: 7/2/2016

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: 10/20/2014

General Securities Representative Examination

Current Firm

ELLIS FINANCIAL PLANNING

BRAMBLE WEALTH PLANNING | GOOD STEWARD WEALTH ADVISERS LLC | ELLIS FINANCIAL PLANNING | BRAMBLE WEALTH PLANNING LLC

CRD#: 333092 / SEC#: 801-131209

RIA

Registered Investment Advisory firm - (9/30/2024 Approved)

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Contact information

Main Address

2681 Townsend Ct., Clarksville, TN 37043

Mailing Address

Phone number

(931) 905-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOOD STEWARD WEALTH ADVISERS, D.B.A. ELLIS FINANCIAL PLANNING ADV PART 2A JAN 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	774
AUM (Assets Under Management)	$ 140,529,422

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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Firm Stability Insights

James C. Alfonso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Cole Alfonso's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ELLIS FINANCIAL PLANNING

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2016

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2014

Current Firm

ELLIS FINANCIAL PLANNING

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLIS FINANCIAL PLANNING

TRUST BUT VERIFY

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