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James Kemp Sawers

Uptown Capital Advisors

Dallas, TX

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Current Employers
Uptown Capital Advisors

2911 Turtle Creek Blvd Suite 1100, Dallas, TX 75219 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2019-01-08
TX RA APPROVED 2014-06-06
  • LA RA
    APPROVED
    Since 2019-01-08
  • TX RA
    APPROVED
    Since 2014-06-06

Branch Locations

2911 Turtle Creek Blvd Suite 1100, Dallas, TX 75219 • 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
Uptown Capital Advisors Dallas TX 04/2014 Present
Other Businesses

ATTORNEY, NOT INVESTMENT RELATED, 0 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-01
  • S65 Uniform Investment Adviser Law Examination
    2014-04-01
Other Names
  • Kemp Sawers

View on SEC IAPD

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