Last Updated: January 2026 — Columbia, TN
Here’s what you need to know about Columbia, TN stockbroker James D. Davis Jr.:
- Name: James D. Davis Jr.
- Current Employer: IFP Securities, LLC (FINRA broker; registered since 05/22/2019); branch at 611 N. Main Street, Ste D, Columbia, TN 38401. Also registered as an Investment Adviser Representative with Independent Financial Partners (since 11/10/2016).
- Prior Firms: LPL Financial LLC (Franklin, TN) 04/2010–05/2019; VALIC Financial Advisors, Inc. 12/2008–04/2010; LPL Financial Corporation 09/2000–08/2008.
- Other Business Affiliations: Fixed insurance sales; “Grow Live Give” (owner; investment-related services); NORCARLA, LLC (limited partner; land consulting/development).
- CRD number: 4222532.
- Stockbroker / Financial Advisor: Yes — registered with 1 SRO; licensed in multiple U.S. states/territories; exams passed include Series 24, 7, 6, 63, 65 and SIE.
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $125,000
If you’ve sustained damages from Mr. Davis, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James D. Davis Jr. As Your Stockbroker?
Two customer disputes tied to GWG “L Bonds” were filed in 2022 and later settled:
- FINRA Case No. 22-01693 (July 2022): Claim alleged breaches of fiduciary duty/contract, violations of FINRA Rules (including 2010, 2120, 2111.05(a), 3110), and failure to disclose risks of GWG L Bonds; alleged damages $250,000; settled for $125,000.
- FINRA Case No. 22-01719 (Sept. 2022): Claim alleged breaches of state law, fiduciary duty, contract, and inadequate risk disclosure for GWG L Bonds; alleged damages $100,000; settled for $42,000.
Allegations of Broker Misconduct Against James D. Davis Jr.
- Unsuitability — Recommending complex/illiquid products like GWG “L Bonds” to a customer whose profile may not support the risks can violate FINRA Rule 2111 (Suitability) (the disclosure references Rule 2111.05(a)).
- Breach of Fiduciary Duty / Failure to Act in the Customer’s Best Interest — Customer claims asserted fiduciary-duty violations; for retail recommendations after June 30, 2020, this is commonly assessed under SEC Regulation Best Interest (Exchange Act Rule 15l-1) along with FINRA Rule 2010 (standards of commercial honor).
- Misrepresentation or Omission of Material Risks (Fraud) — Allegations included failure to disclose risk parameters; fraud claims typically implicate FINRA Rule 2020 (formerly Rule 2120) and Rule 2010.
- Failure to Supervise — Claims cited FINRA Rule 3110 (Supervision), which requires firms to establish and enforce written supervisory procedures.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other IFP Securities Brokers
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by James D. Davis Jr., contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.