James E. Turner

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CRD#: 727113

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Edward Turner, who also goes by James Edward Turner Jr, Jim Turner, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Edward Turner Jr | Jim Turner

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 5, 1991 - March 27, 2025

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

CRD#: 7726

LIBERTY LAKE, WA

Past

April 15, 1987 - March 14, 1991

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

May 19, 1986 - March 14, 1991

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 26, 1985 - February 5, 1986

AMFCO SECURITIES, INC.

CRD#: 1045

Past

December 13, 1984 - December 27, 1984

RICHARDS MERRILL WEALTH MANAGEMENT

CRD#: 713

Past

March 23, 1981 - November 19, 1984

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

CRD#: 7726

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".

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

ALLIANT SECURITIES, INC. | BOZARTH, FITZGERALD & TURNER SECURITIES, INC. | BOZARTH & TURNER SECURITIES, INC. | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

CRD#: 7726 / SEC#: 801-120849, 8-23305

RIA

Registered Investment Advisory firm - SEC (5/13/2021 Approved)

Idaho

Registered Investment Advisory firm - SEC (5/14/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/6/2021 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/14/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 5/2/1987

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: 3/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/29/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

ALLIANT SECURITIES, INC. | BOZARTH, FITZGERALD & TURNER SECURITIES, INC. | BOZARTH & TURNER SECURITIES, INC. | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

CRD#: 7726 / SEC#: 801-120849, 8-23305

RIA

Registered Investment Advisory firm - SEC (5/13/2021 Approved)

Idaho

Registered Investment Advisory firm - SEC (5/14/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/6/2021 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/14/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019

Mailing Address

695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019

Phone number

(509) 747-9144

Established

Washington since 10/10/1978

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (6 States and Territories)

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV-2A-2025 (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
KIENBAUM, PAUL DOUGLAS	TREASURER CEO CO-CCO CFO	1532287
NORD, MICHAEL ODELL	PRESIDENT CFO CO-CCO	1069564
MANN, SALLY SUE	SECRETARY CFO	1853433
NEWTON, JEFFREY MYLES	CO-CCO	2176966

Regulatory assets under management

Total Number of Accounts	548
AUM (Assets Under Management)	$ 226,500,000

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/17/2024	Cover Page	Report
01/29/2024	Cover Page	Report

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 E. Turner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

AMFCO SECURITIES, INC.

RICHARDS MERRILL WEALTH MANAGEMENT

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

Primary Firm SEC Registration

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1987

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1981

Series 8

Date: 10/29/1986

Current Firm

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

Contact information

SEC notice filing (6 States and Territories)

FINRA licenses (12 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM

TRUST BUT VERIFY

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