JG
James F. Garraway
SIMPLIFIED WEALTH MANAGEMENT
Hattiesburg, MS 39402
Some features on this profile are disabled
CRD#: 7132872
JG
Professional summary
James Floyd Garraway III, who also goes by James Floyd Garraway, Trey Garraway, is a registered financial advisor currently at SIMPLIFIED WEALTH MANAGEMENT located in Hattiesburg, Mississippi.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. James has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Floyd Garraway | Trey Garraway
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.
INSURANCE SALES; INVESTMENT-RELATED; HATTIESBURG, MS; INSURANCE AGENT; 2022; APPROXIMATELY 10 HRS/MO DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view James Floyd Garraway III'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®
NoneExperience
Current
February 16, 2022 - Present
SIMPLIFIED WEALTH MANAGEMENT
Office #1: 14 Orleans Drive, Hattiesburg, MS 39402RIA
CRD#: 297059
Hattiesburg, MS
Past
November 15, 2019 - January 12, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Hattiesburg, MS
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".
SW
SIMPLIFIED WEALTH MANAGEMENT
CREEL WEALTH MANAGEMENT | SIMPLIFIED WEALTH MANAGEMENT, LLC | SIMPLIFIED WEALTH MANAGEMENT
CRD#: 297059 / SEC#: 801-123772
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Alabama
Registered Investment Advisory firm - (5/2/2022 Terminated)Florida
Registered Investment Advisory firm - (5/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2022 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2022 Terminated)Mississippi
Registered Investment Advisory firm - (5/2/2022 Terminated)Texas
Registered Investment Advisory firm - (5/2/2022 Terminated)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
Mississippi(2/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/15/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
SW
SIMPLIFIED WEALTH MANAGEMENT
CREEL WEALTH MANAGEMENT | SIMPLIFIED WEALTH MANAGEMENT, LLC | SIMPLIFIED WEALTH MANAGEMENT
CRD#: 297059 / SEC#: 801-123772
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Alabama
Registered Investment Advisory firm - (5/2/2022 Terminated)Florida
Registered Investment Advisory firm - (5/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2022 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2022 Terminated)Mississippi
Registered Investment Advisory firm - (5/2/2022 Terminated)Texas
Registered Investment Advisory firm - (5/2/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
14 Orleans Drive, Hattiesburg, MS 39402
Mailing Address
Phone number
(601) 336-4265
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,451 |
| AUM (Assets Under Management) | $ 179,488,997 |
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.
