Dee James has been an investment adviser representative at TFB Advisors since August 2022, and is not listed among the firm’s executive officers or direct owners.
TFB Advisors, LLC is an Overland Park, KS firm with $840M under management, 1,355 clients and 19 advisers across 7 offices, as of its April 2026 filing.
Dee James’ longest registration was 15 years at Ameritas Advisory Services (2006–2021). Before joining TFB Advisors in 2022, Dee James was registered through Ameritas Advisory Services, LLC and Ameritas Advisory Services.
- Ameritas Advisory Services, LLC– · 1 yearGranbury, TX · Adviser representative · Firm CRD 317245
- Ameritas Advisory Services– · 15 yearsManhattan, KS · Adviser representative · Firm CRD 14869
- Carillon Investments, Inc– · under a yearManhattan, KS · Adviser representative · Firm CRD 14646
- A. G. Edwards & Sons, Inc.– · 2 yearsManhattan, KS · Adviser representative · Firm CRD 4
Investment adviser representative registrations
Dee James is registered as an investment adviser representative in 2 states. Each was approved in August 2022.
- KansasSince 2 August 2022
- TexasSince 2 August 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 July 2002 |
| Series 7 | General Securities Representative Examination | 6 June 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Dee William James
- CRD
- 4525217
- Firm
- TFB Advisors · CRD 321870
- Office
- Granbury, TX
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2002
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Dee James work?
Dee James is an investment adviser representative registered through TFB Advisors, LLC since August 2022, and is not listed among the firm’s executive officers or direct owners.
Is Dee James a financial advisor?
Yes. Dee James has a current investment-adviser registration in Kansas and Texas, through TFB Advisors since August 2022.
How many years of experience does Dee James have?
Dee James has 24 years in the financial industry, since July 2002, across 5 adviser firms.
What exams has Dee James passed?
Dee James has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2002. FINRA credited Dee James with the SIE, which began in October 2018.
Where did Dee James work before TFB Advisors?
Before TFB Advisors, Dee James was registered through Ameritas Advisory Services, June 2006 to November 2021; Carillon Investments, Inc, November 2005 to June 2006; A. G. Edwards & Sons, Inc., July 2002 to May 2005.
Where is Dee James based?
Dee James’ registered office is in Granbury, TX.
Is Dee James registered with FINRA?
Yes. Dee James has a current broker registration, under CRD 4525217.
Source: FINRA BrokerCheck
How can I verify Dee James’ record?
Search CRD 4525217 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Dee James’ full registration record.
Jeffrey PytlinskiPresident- Matthew SwendimanChief Compliance Officer
- David WentzManaging Member
- William StappMember