James Williams has been Chief Compliance Officer of Cpwa since October 2022, is a control person of the firm and directly owns between 25% and 50% of it. James Williams studied at Southern Oregon University.
Cpwa LLC is a Hood River, OR firm with $186M under management, 675 clients and 3 advisers in one office, as of its March 2026 filing.
James Williams is a Financial Advisor, Chief Compliance Officer and Co-Founder of Crown Point Wealth Advisors, based in Hood River, Oregon. He has 15 years of experience in the industry.
James Williams’ longest registration was 5 years at Edward Jones (2017–2022). Before joining Cpwa in 2022, James Williams was registered through Edward Jones and J.P. Morgan Securities LLC.
- Crown Point Wealth AdvisorsCurrent– present · 4 yearsHood River, OR · Adviser representative · Firm CRD 322424
- Edward Jones– · 5 yearsHood River, OR · Adviser representative · Firm CRD 250
- J.P. Morgan Securities LLC– · 4 yearsLake Oswego, OR · Adviser representative · Firm CRD 79
- Chase Investment Services Corp.– · 1 yearLake Oswego, OR · Adviser representative · Firm CRD 25574
- Axa Advisors, LLC– · under a yearPortland, OR · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
James Williams is registered as an investment adviser representative in 5 states, as a resident of Texas. The first approvals date from October 2022; the most recent is California, in April 2025.
- CaliforniaSince 15 April 2025
- IdahoSince 14 April 2025
- OregonSince 16 October 2022
- TexasResidentSince 20 March 2025
- WashingtonSince 14 April 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 12 June 2010 |
| Series 7 | General Securities Representative Examination | 23 April 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James D Williams
- CRD
- 5739663
- Firm
- Cpwa · CRD 322424
- Role
- Chief Compliance Officer
- Office
- 1313 BELMONT AVE., Hood River, OR 97031
- Registration
- Investment adviser registration
- In the industry since
- September 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- crownpointwealth.com
Where does James Williams work?
James Williams has been Chief Compliance Officer of Cpwa LLC since October 2022, and is a control person of the firm.
Is James Williams a financial advisor?
Yes. James Williams has a current investment-adviser registration in California, Idaho, Oregon, Texas and Washington, through Cpwa since October 2022.
How many years of experience does James Williams have?
James Williams has 16 years in the financial industry, since September 2010, across 5 adviser firms.
What exams has James Williams passed?
James Williams has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in April 2010. FINRA credited James Williams with the SIE, which began in October 2018.
Where did James Williams work before Cpwa?
Before Cpwa, James Williams was registered through J.P. Morgan Securities LLC, October 2012 to August 2017; Chase Investment Services Corp., March 2011 to October 2012; Axa Advisors, LLC, June 2010 to October 2010.
Where is James Williams based?
James Williams’ registered office is in Hood River, OR.
Is James Williams registered with FINRA?
No. James Williams has no current broker registration.
How can I verify James Williams’ record?
Search CRD 5739663 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Williams’ full registration record.
