James B. Pugh

PIVOT CAPITAL PARTNERS LLC

Atlanta, GA

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CRD#: 6949266

Professional summary

James Bates Pugh Jr, who also goes by James Bates Pugh Jr., James Bates Pugh, James Bates Jr Pugh, Jameson Bates Pugh, Jameson Pugh, is a registered financial advisor currently at PIVOT CAPITAL PARTNERS LLC located in Atlanta, Georgia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. James has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Bates Pugh Jr. | James Bates Pugh | James Bates Jr Pugh | Jameson Bates Pugh | Jameson Pugh

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) Pivot Capital Partners Consulting LLC; Investment related; 161 North Clark Street, Chicago, IL 60601; Partner; 10 hours during trading hours; Provides exit advisory services (2) RPJ Financial LLC; Not investment related; 161 North Clark Street, Chicago, IL 60601; Holding Company; Partner; 07/06/2023; 20 hours during trading hours; Management and Oversight of Subsidiary Operating Companies. (3) PTF Group LLC; investment related; 161 North Clark Street, Suite 1600, Chicago, IL 60601; Management Group of Investment Related Subsidiaries on behalf of RPJ Financial (Holding Company); Managing Member; 07/17/2023; 10 hours per month during trading hours; 50% Shareholder of PTF Group LLC (4) Pivot Capital, LLC - Investment Related - Partner - sourcing and selling suitable private investment offerings to qualified investors - Approx 160 hours/month (5) PTF Global, LLC - Not Investment Related - Manager - Direct Investment Vehicle Under PTF Group, LLC. Investment into a future Buy/Sell Trade Contract. currently zero hours/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Bates Pugh Jr's CRS (Customer Relationship Summary).

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

May 7, 2025 - Present

PIVOT CAPITAL PARTNERS LLC

RIA

CRD#: 335324

Atlanta, GA

Past

January 14, 2025 - August 8, 2025

STONEHAVEN, LLC

CRD#: 118913

NEW YORK, NY

Past

March 27, 2024 - October 17, 2024

STIRLINGSHIRE INVESTMENTS

CRD#: 310576

NEW YORK CITY, NY

Past

October 7, 2021 - April 11, 2024

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

March 19, 2021 - August 31, 2021

BUNDY GROUP SECURITIES, LLC

CRD#: 311375

CHARLOTTE, NC

Past

November 17, 2020 - December 15, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

ATLANTA, GA

Past

August 9, 2019 - February 26, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Opelika, AL

Past

November 7, 2018 - May 22, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BIRMINGHAM, AL

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".

PIVOT CAPITAL PARTNERS LLC

CRD#: 335324 / SEC#: 801-132725

RIA

Registered Investment Advisory firm - (5/6/2025 Approved)

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

Georgia
(5/7/2025)

IAR

Illinois
(5/7/2025)

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: 4/16/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 4/15/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 11/7/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/7/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2022

General Securities Principal Examination

Current Firm

PIVOT CAPITAL PARTNERS LLC

CRD#: 335324 / SEC#: 801-132725

RIA

Registered Investment Advisory firm - (5/6/2025 Approved)

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Contact information

Main Address

181 W. Madison Street Suite 4700, Chicago, IL 60602

Mailing Address

Phone number

(888) 585-9981

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PIVOT CAPITAL PARTNERS LLC_ADV PART 2 BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 139,000,000

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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Firm Stability Insights

James B. Pugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Bates Pugh Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEHAVEN, LLC

STIRLINGSHIRE INVESTMENTS

FINALIS SECURITIES LLC

BUNDY GROUP SECURITIES, LLC

MML INVESTORS SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PIVOT CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2025

Series 63

Date: 1/5/2019

Series 79TO

Date: 4/15/2021

Series 7TO

Date: 11/7/2018

SIE

Date: 11/7/2018

Series 24

Date: 11/21/2022

Current Firm

PIVOT CAPITAL PARTNERS LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PIVOT CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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