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James Alan Walters

77 Financial Group

Carlsbad, CA

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Current Employers
77 Financial Group

1241 Carlsbad Village Drive Suite 100/A, Carlsbad, CA 92008 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2026-06-27
CA RA APP_PEND_IARCE 2026-01-01
AZ RA APPROVED 2021-02-03
TX RA APPROVED_RES 2021-01-07
  • VA RA
    APPROVED
    Since 2026-06-27
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • AZ RA
    APPROVED
    Since 2021-02-03
  • TX RA
    APPROVED_RES
    Since 2021-01-07

Branch Locations

1241 Carlsbad Village Drive Suite 100/A, Carlsbad, CA 92008 • 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
OrganizationCityStateFromTo
Lincoln Financial Advisors Corporation Sacramento CA 07/2016 11/2017
Securities America, Inc. Prescott AZ 02/2018 01/2019
Verus Capital Partners, Llc Scottsdale AZ 02/2018 01/2021
Securities America, Inc. Scottsdale AZ 02/2019 10/2020
Lpl Financial, Llc San Diego CA 10/2020 12/2020
77 Financial Group Carlsbad CA 12/2020 Present
  • 07/2016 → 11/2017
    Lincoln Financial Advisors Corporation
    Sacramento, CA
  • 02/2018 → 01/2019
    Securities America, Inc.
    Prescott, AZ
  • 02/2018 → 01/2021
    Verus Capital Partners, Llc
    Scottsdale, AZ
  • 02/2019 → 10/2020
    Securities America, Inc.
    Scottsdale, AZ
  • 10/2020 → 12/2020
    Lpl Financial, Llc
    San Diego, CA
  • 12/2020 → Present
    77 Financial Group
    Carlsbad, CA
Previous Registrations
  • 2018-02-16 → 2021-01-26
    Verus Capital Partners, Llc
    Prescott, AZ
    Scottsdale, AZ
  • 2017-06-20 → 2017-12-21
    Osaic Fa, Inc.
    Sacramento, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-16
  • S66 Uniform Combined State Law Examination
    2017-06-16
Other Names
  • James Walters

View on SEC IAPD

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ALEX KLINGENSMITH
Brittney Nicole Partow
Nolan Tyler Martin

Other Offices

INTELLIGENCE DRIVEN ADVISERS, LLC · CARLSBAD, CA
COTTINGHAM MANAGEMENT COMPANY, LLC · CARLSBAD, CA
CORONADO INVESTMENT ADVISORS, LLC · CARLSBAD, CA
FINANCIAL PLANNING SOLUTIONS, INC. · CARLSBAD, CA
PFS INVESTMENTS INC. · CARLSBAD, CA
COMMONWEALTH FINANCIAL NETWORK · CARLSBAD, CA
FRANK FINANCIAL ADVISORS · CARLSBAD, CA
LPL FINANCIAL LLC · CARLSBAD, CA

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