JT
James C. Tafel
THOMPSON SIEGEL & WALMSLEY LLC
Richmond, VA 23230
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CRD#: 7220271
JT
Professional summary
James Cody Tafel, who also goes by Cody Tafel, J. Cody Tafel, James C Tafel, is a registered financial advisor currently at THOMPSON SIEGEL & WALMSLEY LLC located in Richmond, Virginia.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. James has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cody Tafel | J. Cody Tafel | James C Tafel
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) CMT Association- Richmond Chapter; Non-Investment Related; Professional Organization; New York, NY; Start 01/2010; Richmond Chapter Chair, Host meetings or webinars; 1 hour per month. 2) CAIA Association- Washington DC Chapter; Non-Investment Related; Professional Organization; Amherst, MA; Start 05/2019; DC Chapter Executive Committee; Host meetings or webinars; 1 hour per month. 3) University of Richmond-Student Managed Investment Fund Advisory Board; Non-Investment Related; Education; University of Richmond, VA; Start 08/2009; Advisory Board Member, 1 hour per month. 4) Piney Island Corporation; Non-Investment Related; Recreational Outdoor Club; Poplar Branch, NC; Start 10/2016; Executive Committee Member/Shareholder; 1 hour per month. 5) St. Catherine's School Foundation; Investment Related; Education; St. Catherine's School, Richmond, VA; Start 05/2022; Board of Directors for School Foundation; 1 hour per month. 6) Union Presbyterian Seminary; Investment Related; Religious Institution; Union Presbyterian Seminary, Richmond, VA; Start 07/2024; Investment Committee; 1 hour per month.
CRS (Client Relationship Summary) - RIA
Click below to view James Cody Tafel'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
June 11, 2020 - Present
THOMPSON SIEGEL & WALMSLEY LLC
Office #1: 6641 West Broad Street Suite 600, Richmond, VA 23230RIA
CRD#: 105726
Richmond, VA
Past
March 3, 2020 - December 31, 2021
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
RICHMOND, VA
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".
TS
THOMPSON SIEGEL & WALMSLEY LLC
THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
RIA
Registered Investment Advisory firm - (1/17/1970 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
Virginia(6/11/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/3/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
TS
THOMPSON SIEGEL & WALMSLEY LLC
THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
RIA
Registered Investment Advisory firm - (1/17/1970 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6641 West Broad Street Suite 600, Richmond, VA 23230
Mailing Address
Phone number
(804) 353-4500
Established
Firm type
Fiscal year end
# of Employees
68
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,775 |
| AUM (Assets Under Management) | $ 20,812,400,000 |
Red Flags
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Company Information
THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726Richmond, VA 23230TRUST BUT VERIFY
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