James Linna

Some features on this profile are disabled

CRD#: 733321

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 Linna was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

July 3, 2015 - November 30, 2018

NWF ADVISORY SERVICES INC

RIA

CRD#: 110410

SAN DIEGO, CA

Past

May 21, 2015 - July 7, 2016

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SAN DIEGO, CA

Past

March 5, 2015 - December 4, 2018

OSAIC WEALTH, INC.

CRD#: 23131

SAN DIEGO, CA

Past

May 10, 2004 - July 31, 2015

FIRST MIDWEST SECURITIES, INC.

RIA

CRD#: 21786

SAN DIEGO, CA

Past

November 2, 1989 - July 1, 2015

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

SAN DIEGO, CA

Past

December 9, 1985 - November 6, 1989

HYDRA SECURITIES CORPORATION

CRD#: 16095

Past

June 13, 1983 - December 23, 1985

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

Past

June 8, 1981 - July 11, 1983

NATIONAL SELECTED SECURITIES CORP.

CRD#: 8299

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".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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

IAR

Series 66

Date: 6/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/23/1994

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: 6/18/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/23/1982

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 6/5/1981

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/2/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/1985

General Securities Principal Examination

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James Linna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

HYDRA SECURITIES CORPORATION

MARQUETTE FINANCIAL GROUP, INC.

NATIONAL SELECTED SECURITIES CORP.

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2011

Series 63

Date: 2/23/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1983

Series 6

Date: 7/23/1982

Series 22

Date: 6/5/1981

Series 53

Date: 5/2/1995

Series 24

Date: 5/1/1985

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

Similar Advisors