James M. Sanford

BALANCED PLAN FINANCIAL INVESTMENT ADVISORS

San Fransico, CA

Some features on this profile are disabled

CRD#: 7507754

Professional summary

James Matthew Sanford is a registered financial advisor currently at BALANCED PLAN FINANCIAL INVESTMENT ADVISORS, INC. located in San Fransico, California and WORLD EQUITY GROUP, INC. located in Schaumburg, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. James has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO and SIE 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.

1) Insurance Agent, Investment Related, 360 ROCKWOOD DRIVE SOUTH SAN FRANCISCO, CA 94080, Insurance Products and Services, 05/2018 2) Licensed General Contractor, Non-Investment Related, 360 ROCKWOOD DRIVE SOUTH SAN FRANCISCO, CA 94080, Home Owner Consulting, 01/2012

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Sanford'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

January 18, 2024 - Present

BALANCED PLAN FINANCIAL INVESTMENT ADVISORS, INC.

RIA

CRD#: 310708

San Fransico, CA

Current

October 1, 2024 - Present

WORLD EQUITY GROUP, INC.

Office #1: 425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

RIA

CRD#: 29087

Schaumburg, IL

Past

February 16, 2022 - January 19, 2024

CSP FINANCIAL GROUP LLC

RIA

CRD#: 310819

SCOTTSDALE, AZ

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.

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

IAR

California
(1/18/2024)

California
(10/16/2024)

Florida
(1/15/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/15/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/5/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 10/1/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/1/2024

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

BALANCED PLAN FINANCIAL INVESTMENT ADVISORS, INC.

CRD#: 310708 / SEC#:

California

Registered Investment Advisory firm - (11/13/2020 Approved)

Louisiana

Registered Investment Advisory firm - (11/3/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (5/6/2021 Approved)

Texas

Registered Investment Advisory firm - (1/11/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Hermitage, TN

Mailing Address

Po Box 58, Tustin, CA 92781

Phone number

(714) 504-5219

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 40,694,127

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

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Sanford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Sanford's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALANCED PLAN FINANCIAL INVESTMENT ADVISORS, INC.

WORLD EQUITY GROUP, INC.

CSP FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/15/2024

Series 65

Date: 2/5/2022

Series 6TO

Date: 10/1/2024

SIE

Date: 6/1/2024

FINRA

Current Firm

BALANCED PLAN FINANCIAL INVESTMENT ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BALANCED PLAN FINANCIAL INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors