James Frawley has been Chief Compliance Officer of Westside Investment Management since June 2010, is a control person of the firm and directly owns under 5% of it. James Frawley holds a BS in Business Finance from California State University Northridge.
Westside Investment Management, LLC is a Santa Monica, CA firm with $889M under management, 890 clients and 7 advisers across 3 offices, as of its February 2026 filing.
James Frawley is Managing Partner and Co-Founder of Westside Investment Management, a wealth management firm serving families, business owners and executives. He helps clients coordinate investment management, tax planning, estate planning, risk management, charitable giving and intergenerational wealth transfer. Since 1997 he has worked with high-net-worth families.
James Frawley’s longest registration is the current one, 16 years at Westside Investment Management since 2010. Before joining Westside Investment Management in 2010, James Frawley was registered through LPL Financial LLC and American Express Financial Advisors, Inc.
- – present · 16 yearsSanta Monica, CA · Adviser representative · Firm CRD 154522
- LPL Financial LLC– · 7 yearsSanta Monica, CA · Adviser representative · Firm CRD 6413
- American Express Financial Advisors, Inc.– · 6 yearsWoodland Hills, CA · Adviser representative · Firm CRD 6363
Professional designations
Listed by Westside Investment Management
- Chartered Financial Consultant (ChFC®)
- Certified Fund Specialist
- Certified Exit Planning Advisor (CEPA®)
Investment adviser representative registrations
James Frawley is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from August 2010; the most recent is Oklahoma, in November 2012.
- CaliforniaSince 31 August 2010
- HawaiiSince 7 November 2011
- OklahomaSince 30 November 2012
- TexasResidentSince 7 September 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 30 June 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 May 1997 |
| Series 7 | General Securities Representative Examination | 28 April 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Michael Frawley
- CRD
- 2867752
- Firm
- Westside Investment Management · CRD 154522
- Role
- Chief Compliance Officer
- Office
- 2444 WILSHIRE BOULEVARD, SUITE 303, Santa Monica, CA 90403
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1997
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- westsideim.com
Where does James Frawley work?
James Frawley has been Chief Compliance Officer of Westside Investment Management, LLC since June 2010, and is a control person of the firm.
Is James Frawley a financial advisor?
Yes. James Frawley has a current investment-adviser registration in California, Hawaii, Oklahoma and Texas, through Westside Investment Management since August 2010.
How many years of experience does James Frawley have?
James Frawley has 29 years in the financial industry, since July 1997, across 3 adviser firms.
What exams has James Frawley passed?
James Frawley has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in April 1997. FINRA credited James Frawley with the SIE, which began in October 2018.
Where did James Frawley work before Westside Investment Management?
Before Westside Investment Management, James Frawley was registered through American Express Financial Advisors, Inc., December 1997 to April 2004.
Where is James Frawley based?
James Frawley’s registered office is in Santa Monica, CA.
Is James Frawley registered with FINRA?
Yes. James Frawley has a current broker registration, under CRD 2867752.
Source: FINRA BrokerCheck
How can I verify James Frawley’s record?
Search CRD 2867752 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Frawley’s full registration record.