Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Morris James is a registered representative with Pinnacle Wealth Advisors. David has been in the industry since 1993 and has worked for several firms including Trustcore Investments, Inc., Wiley Bros.-Aintree Capital, LLC, Cambridge Way, Inc., Wiley Bros. Inc., and Thomas James Associates, Inc. David is a registered principal and has a broad range of licenses and exams including Series 4, 7, 14, 24, 52, 53, 55, 63, 66, 79, 99, and SIE. David specializes in providing financial planning, selection of other advisers, and portfolio management for individuals. David is also a CCO for Pinnacle Wealth Advisors and Pinnacle Bank.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TN
03/16/2015 - Present
Pinnacle Wealth Advisors (NASHVILLE TN)
TN
05/23/2011 - 02/25/2015
TRUSTCORE INVESTMENTS, INC. (BRENTWOOD TN)
TN
05/30/2008 - 05/23/2011
WILEY BROS.-AINTREE CAPITAL, LLC (NASHVILLE TN)
TN
10/18/1994 - 06/04/1997
CAMBRIDGE WAY, INC. (BRENTWOOD TN)
TN
09/15/1993 - 07/22/1994
WILEY BROS. INC. (NASHVILLE TN)
NA
06/22/1988 - 09/13/1988
THOMAS JAMES ASSOCIATES, INC.
BOTH
Issued 08/21/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 10/28/2009
Series 4 - Registered Options Principal Examination
BC
Issued 02/10/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/11/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/29/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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