James Alfonso has been an investment adviser representative at Good Steward Wealth Advisers since December 2024, and is not listed among the firm’s executive officers or direct owners.
Good Steward Wealth Advisers LLC is a Clarksville, TN firm with $181M under management, 331 clients and 3 advisers in one office, as of its March 2026 filing.
James Alfonso is Associate Financial Adviser of Ellis Financial Planning. He conducts client meetings, prepares next steps and follows through on important planning items. He joined the firm in 2024; before that he spent six years with UBS and seven years with RBC, working in client support and operations.
James Alfonso’s longest registration was 6 years at RBC Capital Markets, LLC (2017–2024). Before joining Good Steward Wealth Advisers in 2024, James Alfonso was registered through Raymond James Financial Services Advisors, Inc and RBC Capital Markets, LLC.
- Ellis Financial PlanningCurrent– present · 1 yearClarksville, TN · Adviser representative · Firm CRD 333092
- Raymond James Financial Services Advisors, Inc– · under a yearClarksville, TN · Adviser representative · Firm CRD 149018
- RBC Capital Markets, LLC– · 6 yearsClarksville, TN · Adviser representative · Firm CRD 31194
- UBS Financial Services Inc.– · 1 yearSewickley, PA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
James Alfonso is registered as an investment adviser representative in Tennessee, since December 2024.
- TennesseeSince 16 December 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 July 2016 |
| Series 7 | General Securities Representative Examination | 20 October 2014 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Cole Alfonso
- CRD
- 5985662
- Firm
- Good Steward Wealth Advisers · CRD 333092
- Office
- 2681 TOWNSEND CT., Clarksville, TN 37043
- Registration
- Investment adviser registration
- In the industry since
- December 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ellisfinancialplanning.com
Where does James Alfonso work?
James Alfonso is an investment adviser representative registered through Good Steward Wealth Advisers LLC since December 2024, and is not listed among the firm’s executive officers or direct owners.
Is James Alfonso a financial advisor?
Yes. James Alfonso has a current investment-adviser registration in Tennessee, through Good Steward Wealth Advisers since December 2024.
How many years of experience does James Alfonso have?
James Alfonso has 11 years in the financial industry, since December 2014, across 4 adviser firms.
What exams has James Alfonso passed?
James Alfonso has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2014. FINRA credited James Alfonso with the SIE, which began in October 2018.
Where did James Alfonso work before Good Steward Wealth Advisers?
Before Good Steward Wealth Advisers, James Alfonso was registered through Raymond James Financial Services Advisors, Inc, April 2024 to October 2024; RBC Capital Markets, LLC, November 2017 to May 2024; UBS Financial Services Inc., July 2016 to December 2017.
Where is James Alfonso based?
James Alfonso’s registered office is in Clarksville, TN.
Is James Alfonso registered with FINRA?
No. James Alfonso has no current broker registration.
How can I verify James Alfonso’s record?
Search CRD 5985662 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Alfonso’s full registration record.
