JP
James J. Puplava
FINANCIAL SENSE ADVISORS
SAN DIEGO, CA 92127
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CRD#: 736091
JP
Professional summary
James Joseph Puplava, AIF®, CFP® is a registered financial advisor currently at FINANCIAL SENSE ADVISORS, INC. located in San Diego, California and FINANCIAL SENSE SECURITIES, INC. located in San Diego, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. James has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
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.
Financial Sense Securities, Inc. - Insurance Agency - Investment Related - 10920 Via Frontera, Suite 500, San Diego, CA 92127 - Start 09/30/1996 - 5 Hr/Mo; 1 Hour(s) During Securities Trading; 5% Time Spent - Owner Financial Sense Advisors, Inc. - Registered Investment Advisor DBA: Financial Sense Wealth Management - Investment Related - 10920 Via Frontera, Suite 500, San Diego CA 92127 - Start 09/30/1996 - 160 Hr/Mo; 40 Hour(s) During Securities Trading; 100% Time Spent - I provide investment advisory services through Financial Sense Advisors, an independent investment advisor firm. I started this business activity in March 1985. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD Financialsense.com - 10920 Via Frontera, Suite 500, San Diego, CA 92127 - Participates in podcasts and occasional articles; approximately 24 hours/month
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Puplava'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®
Experience
Current
March 25, 2004 - Present
FINANCIAL SENSE ADVISORS, INC.
Office #1: 10920 Via Frontera Suite 500, San Diego, CA 92127RIA
CRD#: 111090
SAN DIEGO, CA
Current
September 7, 1996 - Present
FINANCIAL SENSE SECURITIES, INC.
Office #1: 10920 Via Frontera Suite 500, San Diego, CA 92127BD
CRD#: 39301
SAN DIEGO, CA
Past
August 1, 2016 - January 11, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
April 12, 1984 - October 9, 1996
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
September 22, 1982 - May 11, 1984
GREAT AMERICAN SECURITIES INC.
BD
CRD#: 7504
Past
May 3, 1982 - September 2, 1982
JODY HUMBER C.F.P. LTD.
BD
CRD#: 10463
Past
August 17, 1981 - October 9, 1996
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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".
FS
FINANCIAL SENSE ADVISORS, INC.
FINANCIAL SENSE ADVISORS, INC. | PUPLAVA FINANCIAL SERVICES INC | FINANCIAL SENSE WEALTH MANAGEMENT
CRD#: 111090 / SEC#: 801-25937
RIA
Registered Investment Advisory firm - (12/31/1985 Approved)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.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
Alabama(10/27/2005)
RR
Alaska(10/27/2005)
RR
Arizona(10/9/1996)
RR
Arkansas(12/4/2007)
RR
California(10/7/1996)
IAR
California(3/25/2004)
RR
Colorado(3/8/2002)
RR
Connecticut(6/13/2002)
RR
Delaware(5/16/2006)
RR
District of Columbia(10/7/2011)
RR
Florida(3/4/1999)
RR
Georgia(1/22/2004)
RR
Hawaii(5/8/2003)
RR
Idaho(4/15/2004)
RR
Illinois(10/30/1998)
RR
Indiana(6/6/2006)
RR
Iowa(7/7/2004)
RR
Kansas(1/14/2004)
RR
Kentucky(10/27/2005)
RR
Louisiana(5/6/2004)
RR
Maine(3/21/2007)
RR
Maryland(8/27/2001)
RR
Massachusetts(7/16/2002)
RR
Michigan(11/21/2007)
RR
Minnesota(8/22/2001)
RR
Mississippi(5/27/2004)
RR
Missouri(4/23/2007)
RR
Montana(4/5/2006)
RR
Nebraska(6/13/2006)
RR
Nevada(3/6/2002)
RR
New Hampshire(12/7/2004)
RR
New Jersey(11/15/2002)
RR
New Mexico(12/9/2002)
RR
New York(4/30/2002)
RR
North Carolina(2/7/2000)
RR
North Dakota(10/7/2011)
RR
Ohio(4/12/2006)
RR
Oklahoma(11/19/2007)
RR
Oregon(10/10/1996)
RR
Pennsylvania(10/10/2003)
RR
Rhode Island(11/6/2007)
RR
South Carolina(3/19/2002)
RR
South Dakota(11/16/2007)
RR
Tennessee(2/24/2003)
RR
Texas(10/15/1996)
IAR
Texas(10/4/2004)
RR
Utah(1/19/2000)
RR
Vermont(9/17/2003)
RR
Virginia(1/3/2003)
RR
Washington(10/7/1996)
RR
West Virginia(2/4/2008)
RR
Wisconsin(4/10/2001)
RR
Wyoming(11/20/2002)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FINANCIAL SENSE ADVISORS, INC.
FINANCIAL SENSE ADVISORS, INC. | PUPLAVA FINANCIAL SERVICES INC | FINANCIAL SENSE WEALTH MANAGEMENT
CRD#: 111090 / SEC#: 801-25937
RIA
Registered Investment Advisory firm - (12/31/1985 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10809 Thornmint Road 2nd Floor, San Diego, CA 92127
Mailing Address
Phone number
(858) 487-3939
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,104 |
| AUM (Assets Under Management) | $ 681,412,925 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
