Erica N. James
SIGNIFY WEALTH LLC
St. Louis, MO 63117
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CRD#: 7332492
Professional summary
Erica N. James, CFP® is a registered financial advisor currently at SIGNIFY WEALTH LLC located in St. Louis, Missouri.
Erica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Erica has worked at 3 firms .
Question & Answer
Are you a "fiduciary"?
Yes
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.
Owner/Property Manager of Townhome rental; Non-Investment Related; 9/1/2016; 1 hour per month spent during business/non-business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Erica N. James'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®
CFP®
Start date: 2020
Experience
Current
February 13, 2023 - Present
SIGNIFY WEALTH LLC
Office #1: 7750 Clayton Road Suite 100, St. Louis, MO 63117RIA
CRD#: 160094
St. Louis, MO
Past
April 19, 2021 - October 24, 2022
CREATIVE PLANNING
RIA
CRD#: 105348
MCLEAN, VA
Past
January 28, 2021 - April 13, 2021
SBSB FINANCIAL ADVISORS
RIA
CRD#: 109732
MCLEAN, 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".
SW
SIGNIFY WEALTH LLC
NEXT WEALTH | STRATEGIC PARTNERS WEALTH MANAGEMENT | SIGNIFY WEALTH LLC
CRD#: 160094 / SEC#: 801-116909
RIA
Registered Investment Advisory firm - (7/5/2019 Approved)Louisiana
Registered Investment Advisory firm - (8/12/2019 Terminated)Missouri
Registered Investment Advisory firm - (8/9/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2018 Terminated)Texas
Registered Investment Advisory firm - (8/9/2019 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
Texas(2/13/2023)
IAR
Virginia(2/13/2023)
Exams
Current Firm
SW
SIGNIFY WEALTH LLC
NEXT WEALTH | STRATEGIC PARTNERS WEALTH MANAGEMENT | SIGNIFY WEALTH LLC
CRD#: 160094 / SEC#: 801-116909
RIA
Registered Investment Advisory firm - (7/5/2019 Approved)Louisiana
Registered Investment Advisory firm - (8/12/2019 Terminated)Missouri
Registered Investment Advisory firm - (8/9/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2018 Terminated)Texas
Registered Investment Advisory firm - (8/9/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7750 Clayton Road Suite 100, St. Louis, MO 63117
Mailing Address
Phone number
(314) 222-0295
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 406 |
| AUM (Assets Under Management) | $ 283,707,850 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/23/2024 | ||
| 06/28/2023 | ||
| 09/28/2022 |
Red Flags
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Company Information
SIGNIFY WEALTH LLC
CRD#: 160094St. Louis, MO 63117TRUST BUT VERIFY
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