James Walters, financial advisor Carlsbad CA

James Walters

CRD Number: 6652903
Current Firm: 77 Financial Group

James Walters (CRD# 6652903) is an Investment Advisor Representative working at 77 Financial Group in Carlsbad, CA and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
77 Financial Group Carlsbad, CA Dec 2020 - Current 3
Verus Capital Partners, LLC Scottsdale, AZ Feb 2018 - Jan 2021 2
Lpl Financial, LLC San Diego, CA Oct 2020 - Dec 2020 < 1
Securities America, Inc. Scottsdale, AZ Feb 2019 - Oct 2020 1
Securities America, Inc. Prescott, AZ Feb 2018 - Jan 2019 < 1
Lincoln Financial Advisors Corporation Sacramento, CA Jul 2016 - Nov 2017 1
Point Loma Nazarene University San Diego, CA Aug 2013 - May 2016 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2017
Contact Info for James A. Walters
Phone Number: 928-499-1288
Registered State(s):
  • AZ
  • CA
  • TX
Current Firm Details
77 Financial Group
Firm's CRD Number: 312367
By the Numbers
  • Total Assets Under Management
    10
    MILLIONS
  • Total Number of Accounts
    45
    ACCOUNTS
  • Average Account Value
    $211,111
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
Types of Clients
Registered States

AZ, CA, TX

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