James Stephenson

Employer firm

Chelsea Advisory Services, Inc CRD 150791

$147M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Chelsea Advisory Services, Inc

242 Main Street, Staten Island, NY 10307 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2021-09-30

LA RA
APPROVED

Since 2021-09-30

Branch Locations

Lake Charles, LA • United States

242 Main Street, Staten Island, NY 10307 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Stine Financial	Lake Charles	LA	01/2016	09/2021
J.W. Cole Advisors, Inc.	Tampa	FL	12/2018	09/2021
Chelsea Advisory Services	Staten Island	NY	09/2021	Present

01/2016 → 09/2021

Stine Financial

Lake Charles, LA
12/2018 → 09/2021

J.W. Cole Advisors, Inc.

Tampa, FL
09/2021 → Present

Chelsea Advisory Services

Staten Island, NY

Previous Registrations

2021-01-29 → 2021-09-27

J. W. Cole Advisors, Inc.

Lake Charles, LA

Tampa, FL

Other Businesses

Stephenson Tax Group - Not Investment related Stephenson Investment Group - DBA for investment Advisory business done through Chelsea Advisory Services

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-01-29

S65 Uniform Investment Adviser Law Examination

2021-01-29

View on SEC IAPD