James P. Steele

APPLIED INVESTMENT STRATEGIES

AMARILLO, TX 79101

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CRD#: 6875414

Professional summary

James Patrick Steele, who also goes by Jp Steele, is a registered financial advisor currently at APPLIED INVESTMENT STRATEGIES, LLC located in Amarillo, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. James has worked at 1 firm and has passed the Series 65 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jp Steele

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.

Alpha Artists, LLC; Partner since 2010; investment-related; 600 S. Tyler, Suite 904, Amarillo, TX 79101. Alpha Artists, LLC licenses quantitative investment strategies to life insurance companies. 25 hours/week spent on executive management duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Steele'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

March 6, 2020 - Present

APPLIED INVESTMENT STRATEGIES, LLC

Office #1: 600 South Tyler Street Suite 1502, Amarillo, TX 79101

RIA

CRD#: 290280

AMARILLO, TX

Past

February 9, 2018 - December 31, 2019

APPLIED INVESTMENT STRATEGIES, LLC

RIA

CRD#: 290280

AMARILLO, TX

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

Texas
(3/6/2020)

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: 11/20/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 2/4/2025

National Commodity Futures Examination

Current Firm

APPLIED INVESTMENT STRATEGIES, LLC

CRD#: 290280 / SEC#: 802-132270

Connecticut

Registered Investment Advisory firm - (3/17/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/27/2025 Termination Requested)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

600 South Tyler Street Suite 1502, Amarillo, TX 79101

Mailing Address

Phone number

(806) 340-7343

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	2/25/2025

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 P. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Steele's CRS (Customer Relationship Summary).

Certified licenses

Experience

APPLIED INVESTMENT STRATEGIES, LLC

APPLIED INVESTMENT STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/2017

Series 3

Date: 2/4/2025

Current Firm

APPLIED INVESTMENT STRATEGIES, LLC

Contact information

Documents

Exempt reporting advisers

Red Flags

Company Information

APPLIED INVESTMENT STRATEGIES, LLC

TRUST BUT VERIFY

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