Scott James has been President, Chief Compliance Officer of James Scott S since March 1993, is a control person of the firm and directly owns 75% or more of it. Scott James holds a Bachelor of Science Management from Virginia Polytechnic Institute and a Master of Business Administration from James Madison University.
James Scott S Co is a Falls Church, VA firm with $139M under management, 139 clients and 2 advisers in one office, as of its March 2026 filing.
Scott James is President and Chief Compliance Officer of Scott James Group, based in Falls Church, Virginia. He has been a registered securities representative since 1986. Earlier in his career, he was Senior Vice President, Investments at Dean Witter Reynolds, Inc., and a General Securities Principal and Registered Representative at Commonwealth Financial Network.
- The Scott S. James CompanyCurrent– present · 30 yearsFalls Church, VA · Adviser representative · Firm CRD 105861
Professional designations
Listed by James Scott S
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Scott James is registered as an investment adviser representative in 2 states. The first approvals date from April 1996; the most recent is Texas, in April 2024.
- TexasSince 4 April 2024
- VirginiaSince 16 April 1996
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 26 January 2005 |
| Series 4 | Registered Options Principal Examination | 20 August 2001 |
| Series 53 | Municipal Securities Principal Examination | 22 January 2001 |
| Series 27 | Financial and Operations Principal Examination | 29 June 1999 |
| Series 24 | General Securities Principal Examination | 18 June 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 2 December 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 December 1986 |
| Series 7 | General Securities Representative Examination | 20 December 1986 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Scott Snyder James
- CRD
- 1588816
- Firm
- James Scott S · CRD 105861
- Role
- President, Chief Compliance Officer
- Office
- 6700 ARLINGTON BLVD, Falls Church, VA 22042
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1986
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- scottjamesgroup.com
Where does Scott James work?
Scott James has been President, Chief Compliance Officer of James Scott S Co since March 1993, and is a control person of the firm.
Is Scott James a financial advisor?
Yes. Scott James has a current investment-adviser registration in Texas and Virginia, through James Scott S since April 1996.
How many years of experience does Scott James have?
Scott James has 39 years in the financial industry, since December 1986, across 1 adviser firm.
What exams has Scott James passed?
Scott James has passed 11 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 27, Series 53, Series 4, Series 3, Series 14, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in December 1986. FINRA credited Scott James with the SIE, which began in October 2018.
Where is Scott James based?
Scott James’ registered office is in Falls Church, VA.
Is Scott James registered with FINRA?
Yes. Scott James has a current broker registration, under CRD 1588816.
Source: FINRA BrokerCheck
Is Scott James a CFP?
James Scott S lists Scott James with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Scott James’ record?
Search CRD 1588816 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Scott James’ full registration record.