SJ
Sterling W. James
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CRD#: 7671269
SJ
Sterling Walker James III
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.
Sterling Walker James III, who also goes by Sterling W James, Sterling Walker James, Sterling James, was a registered financial professional .
Sterling is a previously registered financial professional and started their career in finance in 2022. Sterling had worked at 1 firm and has passed the Series 65 exam.
Aliases
Sterling W James | Sterling Walker James | Sterling James
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)CEDAROAK INVESTMENTS LLC POSITION: Member NATURE: * Purchase rental properties* Manage rental properties* Sale / dispose of rental properties* Research possible additional rental properties* Work with property management INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/14/2006 ADDRESS: 19363 Willamette Drive #270, West Linn OR 97068, United States DESCRIPTION: * Purchase rental properties* Manage rental properties* Sale / dispose of rental properties* File partnership return annually* Send resultant K1's to members 2)MCCOY FOAT CPAS POSITION: accountant NATURE: * Public accounting* Bookkeeping services*Personal Tax Planning? *BusinessTax Planning* ?Estate Planning & Wealth Management? INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2014 ADDRESS: 1800 BLAKENSHIP RD., STE 430, WEST LINN OR 97068, United States DESCRIPTION: * Prepare personal and related tax returns for clients* Field notices from taxing authorities and prepare responses* Provide tax planning calculations for clients* Help train new staff in tax preparation* Assist with company accounting 3)MF LINEAGE WEALTH ADVISORS LLC POSITION: Investment Advisor Representative NATURE: * Assist clients with investment decisions.?* Place investment orders for clients.* Oversee client portfolios and make recommendations.* Assist clients with retirement planning.* Assist clients with wealth management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/17/2022 ADDRESS: 1800 BLAKENSHIP RD., STE 430, WEST LINN OR 97068, United States DESCRIPTION: *Assist clients with investment decisions.?* Placeinvestment orders for clients.* Oversee client portfolios and make recommendations.* Assist clients with retirement planning.* Assist clients with wealth management. 4)SEVENTH TRADITION LLC POSITION: Member NATURE: * Passive Investment Partnership* Combines passive limited partnership investments to one reporting document* Reports corresponding income/losses to partners* Files a partnership return* Looks forsuitable addition limited partnership investments* Investments are limited partnerships in which I have no control - simply my investment amount* Limited Partnerships contain multi family rental properties and storage units. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/10/2021 ADDRESS: 19363 Willamette Drive #270, West Linn OR 97068, United States DESCRIPTION: * Setup Passive Investment Partnership* Combine passive limited partnership investments to one reporting document* Report corresponding income/losses to partners* File partnership return* Look for suitable addition limited partnership investments
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®
NoneExperience
Past
December 8, 2022 - March 15, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WEST LINN, OR
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.
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
