James G. Sweet

COURT PLACE ADVISORS LLC

Ellicott City, MD 21043

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CRD#: 6202653

Professional summary

James Gregory Sweet, CFP® is a registered financial advisor currently at COURT PLACE ADVISORS LLC located in Ellicott City, Maryland.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gregory Sweet'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

Experience

Current

October 25, 2019 - Present

COURT PLACE ADVISORS LLC

Office #1: 3300 N Ridge Road Suite 345, Ellicott City, MD 21043

RIA

CRD#: 108545

Ellicott City, MD

Past

June 26, 2017 - October 16, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

WASHINGTON, DC

Past

June 26, 2017 - October 16, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Washington, DC

Past

June 19, 2017 - October 16, 2019

TD AMERITRADE, INC.

CRD#: 7870

WASHINGTON, DC

Past

March 4, 2015 - May 25, 2017

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

MCLEAN, VA

Past

September 2, 2014 - May 25, 2017

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

MCLEAN, VA

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".

COURT PLACE ADVISORS LLC

CRD#: 108545 / SEC#: 801-57317

RIA

Registered Investment Advisory firm - (3/6/2000 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

Maryland
(10/25/2019)

IAR

Pennsylvania
(10/25/2019)

IAR

Virginia
(10/25/2019)

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: 3/2/2015

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: 9/2/2014

General Securities Representative Examination

Current Firm

COURT PLACE ADVISORS LLC

CRD#: 108545 / SEC#: 801-57317

RIA

Registered Investment Advisory firm - (3/6/2000 Approved)

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Contact information

Main Address

3300 North Ridge Road Suite 345, Ellicott City, MD 21043

Mailing Address

Phone number

(410) 465-4321

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COURT PLACE ADVISORS, LLC ADV PART 2A (2/13/2025)

Regulatory assets under management

Total Number of Accounts	284
AUM (Assets Under Management)	$ 375,882,522

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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Advisor Monitoring

Firm Stability Insights

James G. Sweet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gregory Sweet's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

COURT PLACE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/2/2014

Current Firm

COURT PLACE ADVISORS LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COURT PLACE ADVISORS LLC

TRUST BUT VERIFY

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