JP
James A. Parrelly
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CRD#: 728368
JP
Professional summary
James Anthony Parrelly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, James had worked at 11 firms, which includes SB ADVISORY LLC, IPI WEALTH MANAGEMENT INC., INVESTMENT PLANNERS INC., FIRST MIDWEST SECURITIES INC., GIRARD SECURITIES INC., SPELMAN & CO. INC., AMERICAN INVESTMENT SERVICES INC., NORTH AMERICAN FINANCIAL GROUP INC., HAMILTON INVESTMENTS INC., UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Anthony Parrelly
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.
CONNECTED LIVING, INC. 300 CONGRESS STREET,QUINCY,MA.02169.. WWW.CONNECTEDLIVING.COM, SENIOR LIVING TECHNOLOGY. START DATE: 09/2009 BOARD MEMBER, 1 HOUR SPENT PER WEEK. NO TIME SPENT DURING MARKET HOURS. NO COMPENSATION RECEIVED. CHAIRMAN OF COUNCIL OF ECONOMIC ROUND TABLE- CITY OF DEARBORN, CITY ADMINISTRATOR OFFICE. APPOINTED BY MAYOR TO HELP IDENTIFY BUSINESS OPPORTUNITIES IN CITY; 2 HOURS A MONTH NOT DURING MARKET HOURS. PARRELLY FINANCIAL GROUP, INC. DEARBORN, MI 48124. PRESIDENT,INVESTMENT CONSULTANT. TIME SPENT 100 HOURS PER WEEK. ALL TIME SPENT DURING MARKET HOURS. COMPENSATION IS BASED ON COMMISSIONS. ENTITY IS FOR TAX PURPOSES/BILL PAYING. PROSPERITY FINANCIAL GROUP, LLC - DBA FOR INVESTMENT PLANNERS, INC. - DEARBORN MI 48124 - MARCH 2015 START. NO COMPENSATION, ONLY DBA.
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®
NoneExperience
Past
January 15, 2021 - June 29, 2022
SB ADVISORY, LLC
RIA
CRD#: 154680
DEARBORN, MI
Past
September 11, 2020 - December 31, 2020
SB ADVISORY, LLC
RIA
CRD#: 154680
Dearborn, MI
Past
March 9, 2015 - July 23, 2020
IPI WEALTH MANAGEMENT, INC.
RIA
CRD#: 111872
DEARBORN, MI
Past
March 9, 2015 - July 23, 2020
INVESTMENT PLANNERS, INC.
BD
CRD#: 18557
DEARBORN, MI
Past
June 21, 2004 - March 10, 2015
FIRST MIDWEST SECURITIES, INC.
RIA
CRD#: 21786
DEARBORN, MI
Past
May 25, 2004 - March 10, 2015
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
DEARBORN, MI
Past
November 18, 2002 - June 2, 2004
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
February 16, 2001 - December 18, 2002
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
November 22, 1996 - February 22, 2001
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
Past
March 28, 1994 - September 25, 1996
NORTH AMERICAN FINANCIAL GROUP, INC.
BD
CRD#: 22273
WARREN, MI
Past
August 24, 1990 - January 17, 1994
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
January 2, 1987 - August 8, 1990
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 13, 1981 - January 29, 1987
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/14/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
