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JB

James A. Begley

NORTH INLET ADVISORS
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 7330391
JB

Professional summary

James Asher Begley is a registered financial professional currently at NORTH INLET ADVISORS, LLC located in Charlotte, North Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 2021. James has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view James Asher Begley'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®
None

Experience

Current

June 22, 2023 - Present

NORTH INLET ADVISORS, LLC

Office #1: 2115 Rexford Rd Suite 224, Charlotte, NC 28211
BD
CRD#: 154297
Charlotte, NC
Past

March 19, 2021 - June 2, 2023

FIDUS SECURITIES, LLC

BD
CRD#: 132882
CHARLOTTE, NC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(6/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/19/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/15/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NORTH INLET ADVISORS, LLC
E&A ADVISORS, LLC | NORTH INLET ADVISORS, LLC

CRD#: 154297 / SEC#: , 8-68624

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2115 Rexford Rd Suite 224, Charlotte, NC 28211
Mailing Address
2115 Rexford Rd Suite 224, Charlotte, NC 28211
Phone number
(704) 900-1140
Established
North Carolina since 05/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BURLINGAME, JOHN MARSHALLCEO, MEMBER, CCO2634951
BRANT, DAVID ROBERTFINOP2718478

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.

Company Information

NORTH INLET ADVISORS, LLC

CRD#: 154297Charlotte, NC 28211

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