Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ennis is a financial advisor with Focus Financial and has been in the industry since 1991. James specializes in providing financial planning services to individuals, businesses, and charitable organizations. James is also a registered representative with the firm and has been actively registered in Iowa since 2018. He is also registered in Texas as a registered investment advisor. James has a broad range of experience in the financial services industry. He has worked with several firms in the past and held different roles. James is a highly qualified professional with extensive experience in the industry and is committed to providing excellent service to clients.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Percentage of assets under management with third party manager
1
2
IA
12/22/2020 - Present
Focus Financial (Des Moine IA)
IA
01/01/2004 - 10/02/2018
VOYA FINANCIAL ADVISORS, INC. (DES MOINES IA)
IA
11/22/2000 - 01/01/2004
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
NY
11/23/1998 - 11/21/2000
NEW ENGLAND SECURITIES (NEW YORK NY)
NJ
05/01/1997 - 11/12/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
TX
10/12/1994 - 05/13/1997
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
04/08/1992 - 12/13/1993
NEW ENGLAND SECURITIES (NEW YORK NY)
KS
07/25/1991 - 12/31/1991
VSR FINANCIAL SERVICES, INC. (OVERLAND PARK KS)
IA
06/19/1990 - 01/24/1991
R. G. DICKINSON & CO. (DES MOINES IA)
NJ
07/17/1989 - 01/09/1990
FIRST INVESTORS CORPORATION (EDISON NJ)
IA
Issued 05/27/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/1995
Series 7 - General Securities Representative Examination
BC
Issued 07/14/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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