James Alan Walters
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Walters
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
77 FINANCIAL GROUP | WEST AND WALTERS TAX AND WEALTH MANAGEMENT | 77 FINANCIAL GROUP LLC
Contact Information
Main Address
1241 Carlsbad Village Drive Suite 100/a, Carlsbad, CA 92008Phone Number
(858) 283-7185# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
125AUM (Assets Under Management)
$27,078,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/3/2021)
(2/2/2021)
(1/7/2021)
(6/27/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view James Alan Walters's CRS (Customer Relationship Summary).
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SCHWAB WEALTH ADVISORY, INC.