James Simos is a CFP-designated registered investment advisor, based in Tracy, CA, with 23 years of industry experience.
Location
Tracy, CA
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Regulatory History
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 is a partner at Adelphia Capital LLC, involved in investment and management of commercial real estate, dedicating minimal time. He also works as an insurance agent selling fixed life insurance through B. Riley Wealth Insurance Corp, spending minimal time on this activity.
Employment History
Current Registrations
B. Riley Wealth Management
B. Riley Wealth ManagementBroker
B. Riley Wealth Advisors, INC.
Previous Registrations
National Securities CorporationBroker
Infinity Financial Services
Infinity Financial ServicesBroker
Infinity Financial Services
LPL Financial Corporation
LPL Financial CorporationBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations10 states
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