MJ
Mark A. James
ALEXANDER BEARD (USA)
San Mateo, CA 94402
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CRD#: 6210175
MJ
Professional summary
Mark Anthony James is a registered financial advisor currently at ALEXANDER BEARD (USA) INC. located in San Mateo, California.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Mark has worked at 2 firms and has passed the Series 65 exam.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Anthony 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®
NoneExperience
Current
January 8, 2019 - Present
ALEXANDER BEARD (USA) INC.
Office #1: 1670 S. Amphlett Blvd. Suite 214-49, San Mateo, CA 94402Office #2: 14-15 Rossmore Business Village Inward Way, Ellesmere Port, Cheshire, CH65 3EYRIA
CRD#: 134642
San Mateo, CA
Past
April 24, 2014 - December 31, 2018
ALEXANDER BEARD (USA) INC.
RIA
CRD#: 134642
SAN MATEO, CA
Past
August 19, 2013 - February 23, 2015
BRITE ADVISORS USA, INC.
RIA
CRD#: 155775
MIAMI, FL
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".
AB
ALEXANDER BEARD (USA) INC.
ALEXANDER BEARD (USA) INC. | ALEXANDER BEARD (USA), LLC | ALEXANDER BEARD (USA), INC.
CRD#: 134642 / SEC#: 801-120225
RIA
Registered Investment Advisory firm - (2/19/2021 Approved)California
Registered Investment Advisory firm - (6/30/2021 Terminated)Florida
Registered Investment Advisory firm - (4/5/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (4/5/2021 Terminated)New Jersey
Registered Investment Advisory firm - (6/22/2021 Terminated)New York
Registered Investment Advisory firm - (4/5/2021 Terminated)Texas
Registered Investment Advisory firm - (4/5/2021 Terminated)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
California(1/10/2019)
IAR
Louisiana(7/31/2024)
IAR
Massachusetts(1/14/2019)
IAR
New Jersey(7/16/2019)
IAR
Texas(1/8/2019)
Current Firm
AB
ALEXANDER BEARD (USA) INC.
ALEXANDER BEARD (USA) INC. | ALEXANDER BEARD (USA), LLC | ALEXANDER BEARD (USA), INC.
CRD#: 134642 / SEC#: 801-120225
RIA
Registered Investment Advisory firm - (2/19/2021 Approved)California
Registered Investment Advisory firm - (6/30/2021 Terminated)Florida
Registered Investment Advisory firm - (4/5/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (4/5/2021 Terminated)New Jersey
Registered Investment Advisory firm - (6/22/2021 Terminated)New York
Registered Investment Advisory firm - (4/5/2021 Terminated)Texas
Registered Investment Advisory firm - (4/5/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14-15 Rossmore Business Village Inward Way, Ellesmere Port, Cheshire, CH65 3EY
Mailing Address
1670 South Amphlett Blvd Suite 214-49, San Mateo, CA 94402
Phone number
(650) 684-0450
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 39,917,826 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
