James Ashbee is a registered investment advisor, based in Austin, TX, with 41 years of industry experience.
Location
5707 Southwest Parkway, Bldg. 2 Ste 400, Austin, TX, 78735
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James works as a financial advisor at Dauphine Capital, meeting with clients, reviewing accounts, and making recommendations. This is a full-time commitment.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
July 2024 - Present · 2 yrs 2 mos
Kestra Private Wealth Services, LLC
July 2024 - Present · 2 yrs 2 mos
Previous Registrations
Wells Fargo Advisors
June 2012 - July 2024 · 12 yrs 1 mo
Wells Fargo Clearing Services, LLCBroker
May 2012 - July 2024 · 12 yrs 2 mos
Morgan Stanley Smith Barney LLC
June 2009 - June 2012 · 3 yrs
Morgan Stanley Smith BarneyBroker
June 2009 - June 2012 · 3 yrs
Citigroup Global Markets INC.Broker
May 2005 - June 2009 · 4 yrs 1 mo
Citigroup Global Markets INC.
May 2005 - June 2009 · 4 yrs 1 mo
Morgan Stanley
April 1992 - May 2005 · 13 yrs 1 mo
Morgan Stanley Dw INC.Broker
August 1984 - May 2005 · 20 yrs 9 mos
State Registrations1 state
AL
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.