JS
James Stephenson
CHELSEA ADVISORY SERVICES,
Lake Charles, LA
Some features on this profile are disabled
CRD#: 6603230
JS
Professional summary
James Stephenson is a registered financial advisor currently at CHELSEA ADVISORY SERVICES, INC located in Lake Charles, Louisiana.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. James 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.
Stephenson Tax Group - Not Investment related Stephenson Investment Group - DBA for investment Advisory business done through Chelsea Advisory Services
CRS (Client Relationship Summary) - RIA
Click below to view James Stephenson'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
September 30, 2021 - Present
CHELSEA ADVISORY SERVICES, INC
RIA
CRD#: 150791
Lake Charles, LA
Past
January 29, 2021 - September 27, 2021
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
LAKE CHARLES, LA
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".
CA
CHELSEA ADVISORY SERVICES, INC
CHELSEA ADVISORY SERVICES, INC
CRD#: 150791 / SEC#: 801-112349
RIA
Registered Investment Advisory firm - (1/19/2018 Approved)California
Registered Investment Advisory firm - (2/23/2018 Terminated)Connecticut
Registered Investment Advisory firm - (1/25/2018 Terminated)Georgia
Registered Investment Advisory firm - (3/29/2018 Terminated)Nevada
Registered Investment Advisory firm - (2/28/2018 Terminated)New Jersey
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (1/24/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/25/2018 Terminated)South Carolina
Registered Investment Advisory firm - (1/24/2018 Terminated)Texas
Registered Investment Advisory firm - (1/24/2018 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
Louisiana(9/30/2021)
Current Firm
CA
CHELSEA ADVISORY SERVICES, INC
CHELSEA ADVISORY SERVICES, INC
CRD#: 150791 / SEC#: 801-112349
RIA
Registered Investment Advisory firm - (1/19/2018 Approved)California
Registered Investment Advisory firm - (2/23/2018 Terminated)Connecticut
Registered Investment Advisory firm - (1/25/2018 Terminated)Georgia
Registered Investment Advisory firm - (3/29/2018 Terminated)Nevada
Registered Investment Advisory firm - (2/28/2018 Terminated)New Jersey
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (1/24/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/25/2018 Terminated)South Carolina
Registered Investment Advisory firm - (1/24/2018 Terminated)Texas
Registered Investment Advisory firm - (1/24/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
Phone number
(718) 967-8400
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 536 |
| AUM (Assets Under Management) | $ 126,883,334 |
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.
