Last Updated: February 2026 — Columbia, TN
Here’s what you need to know about Columbia, TN stockbroker Jim Davis Jr.:
- Name: James D. Davis Jr.
- Alias: Jim Davis
- Current Employer: IFP Securities, LLC (FINRA broker); Independent Financial Partners (investment adviser) — branch at 611 N. Main Street (Suite D), Columbia, TN 38401. Registered with IFP Securities since 05/22/2019; with Independent Financial Partners since 11/10/2016.
- Prior Firms: LPL Financial LLC (2010–2019); VALIC Financial Advisors, Inc. (2008–2010); LPL Financial Corporation (2000–2008).
- Other Business Affiliations: Grow Live Give (DBA; investment-related); Fixed Insurance activities; Rental property business; Zion Presbyterian Church (Finance Committee; non-investment related); NORCARLA, LLC (limited partner; non-investment related).
- CRD number: 4222532.
- Stockbroker / Financial Advisor. Yes — currently registered with FINRA; has passed SIE, Series 6, 7, 24, 63, and 65. Licensed in multiple states.
- 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 settled in 2023:
- FINRA Case No. 22-01693 — Allegations: Breach of fiduciary duty/contract; violations of FINRA Rules 2010, 2120, 2111.05(a), and 3110; failure to disclose risks regarding GWG L Bonds. Settled for $125,000 10/ 2023
- FINRA Case No. 22-01719 — Allegations: Breaches of state law, fiduciary duty, and contract; failure to disclose risks on GWG L Bonds. Settled for $42,000 on 11/2023
Other Investigations Involving GWG Bonds
Allegations of Broker Misconduct Against James D. Davis Jr.
- Unsuitability — Recommendations must satisfy FINRA Rule 2111 (Suitability); GWG L Bonds are complex/illiquid and may be unsuitable for certain investors.
- Breach of Fiduciary Duty — Customers alleged failures of care and loyalty. (For retail brokerage recommendations after June 30, 2020, SEC Regulation Best Interest (Reg BI, Exchange Act Rule 15l-1) imposes a best-interest standard.)
- Misrepresentation / Omission (Fraud) — Use of manipulative or deceptive devices can implicate FINRA Rule 2020 and FINRA Rule 2010. Allegations here included failure to disclose risk parameters.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other Independent Financial Group brokers
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.