Caitlin N. James

CLOCKWORK CAPITAL

London,

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CRD#: 6673180

Professional summary

Caitlin Noel Flannery James, who also goes by Caitlin Noelflannery James, is a registered financial advisor currently at CLOCKWORK CAPITAL, LLC .

Caitlin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Caitlin has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caitlin Noelflannery James

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.

Clockwork Universe, Inc.; Investment related: Yes; Location: Charlottesville, Virginia; Nature: provides software which allows clients to track their portfolios of private securities and review information about private security offerings; Position: Associate Director; Start: 01/2020; 136 hrs/mth spent devoted to this business & 120hrs/mth devoted during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin Noel Flannery 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®

None

Experience

Current

August 16, 2024 - Present

CLOCKWORK CAPITAL, LLC

RIA

CRD#: 329271

London,

Past

July 19, 2018 - March 12, 2019

GAM SERVICES, INC.

CRD#: 25631

NEW YORK, NY

Past

July 24, 2017 - April 26, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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
(8/19/2024)

IAR

Virginia
(8/16/2024)

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 65

Date: 4/29/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/3/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/2017

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 7/24/2017

Investment Banking Registered Representative Examination

Current Firm

CLOCKWORK CAPITAL, LLC

CRD#: 329271 / SEC#:

Louisiana

Registered Investment Advisory firm - (8/19/2024 Approved)

Virginia

Registered Investment Advisory firm - (8/16/2024 Approved)

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Contact information

Main Address

609 E Market Street Suite 107, Charlottesville, VA 22902

Mailing Address

Phone number

(202) 701-0500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Caitlin N. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin Noel Flannery James's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLOCKWORK CAPITAL, LLC

GAM SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2024

Series 63

Date: 8/3/2017

SIE

Date: 10/1/2018

Series 7

Date: 7/31/2017

Series 79

Date: 7/24/2017

Current Firm

CLOCKWORK CAPITAL, LLC

Contact information

Documents

Red Flags

Company Information

CLOCKWORK CAPITAL, LLC

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