James Sartain is a registered investment advisor, based in Plano, TX, with 2 years of industry experience.
Location
7900 Windrose Ave, Plano, TX, 75024
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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 Activities
James is involved with GrayFin Ventures LLC since 2021, spending minimal time on this non-investment related activity.
Employment History
Current Registrations
Vanguard Marketing CorporationBroker
February 2026 - Present · 5 mos
Vanguard Advisers, INC.
February 2026 - Present · 5 mos
Vanguard Marketing Corporation
February 2026 - Present · 5 mos
Previous Registrations
Park Avenue Securities LLC
August 2024 - February 2026 · 1 yr 6 mos
Park Avenue Securities LLCBroker
June 2024 - February 2026 · 1 yr 8 mos
Northwestern Mutual Investment Services, LLCBroker
December 2023 - June 2024 · 6 mos
State Registrations1 state
TX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.