James A. Walters

77 FINANCIAL GROUP

CARLSBAD, CA 92008

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CRD#: 6652903

Professional summary

James Alan Walters, who also goes by James Walters, is a registered financial advisor currently at 77 FINANCIAL GROUP located in Carlsbad, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. 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

James Walters

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.

1.) BRANCA-RAMPART AGENCY INC.; INVESTMENT-RELATED; 2005 S EASTON RD #202, DOYLESTOWN, PA 18901; INSURANCE PRODUCTION; INSURANCE PRODUCER; APPROX. 2 HOURS PER MONTH; INSURANCE PRODUCER OFFERING VARIOUS INSURANCE PRODUCTS TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Walters'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

January 7, 2021 - Present

77 FINANCIAL GROUP

Office #1: 1241 Carlsbad Village Drive Suite 100/a, Carlsbad, CA 92008

RIA

CRD#: 312367

CARLSBAD, CA

Past

October 16, 2020 - December 31, 2020

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

February 15, 2019 - October 29, 2020

SECURITIES AMERICA, INC.

CRD#: 10205

SCOTTSDALE, AZ

Past

February 16, 2018 - January 26, 2021

VERUS CAPITAL PARTNERS, LLC

RIA

CRD#: 151568

SCOTTSDALE, AZ

Past

February 13, 2018 - January 28, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

Prescott, AZ

Past

June 20, 2017 - December 21, 2017

OSAIC FA, INC.

RIA

CRD#: 3978

SACRAMENTO, CA

Past

January 13, 2017 - December 21, 2017

OSAIC FA, INC.

CRD#: 3978

SACRAMENTO, CA

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

Arizona
(2/3/2021)

IAR

California
(2/2/2021)

IAR

Texas
(1/7/2021)

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: 6/16/2017

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: 1/13/2017

General Securities Representative Examination

Current Firm

77 FINANCIAL GROUP

77 FINANCIAL GROUP | WEST AND WALTERS TAX AND WEALTH MANAGEMENT | 77 FINANCIAL GROUP LLC

CRD#: 312367 / SEC#:

Arizona

Registered Investment Advisory firm - (2/3/2021 Approved)

California

Registered Investment Advisory firm - (2/2/2021 Approved)

Texas

Registered Investment Advisory firm - (1/7/2021 Conditional Restricted)

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Contact information

Main Address

1241 Carlsbad Village Drive Suite 100/a, Carlsbad, CA 92008

Mailing Address

Phone number

(858) 283-7185

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 21,050,000

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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James A. Walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Walters's CRS (Customer Relationship Summary).

Certified licenses

Experience

77 FINANCIAL GROUP

LPL FINANCIAL LLC

SECURITIES AMERICA, INC.

VERUS CAPITAL PARTNERS, LLC

SECURITIES AMERICA, INC.

OSAIC FA, INC.

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/16/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2017

Current Firm

77 FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

77 FINANCIAL GROUP

TRUST BUT VERIFY

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