Investment adviser representative · 77 Financial Group
James A. Walters
CRD 6652903 · Carlsbad, CA
At a glance
James A. Walters is an investment adviser representative with 77 Financial Group in Carlsbad, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on James’s SEC record dates to 2017, about 9 years ago.
Current advisory firm
- 77 Financial GroupSince January 2021Carlsbad, CA · State-registered or not in the SEC’s list
SEC adviser record
- Registered since
- 2017 (9 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 4 states
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search.
More at 77 Financial Group
- Jacob R. RogersCarlsbad
- Brandon WestCarlsbad
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