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RIA / WealthAdvisor37 years in industry

JAMES ROBERT EARL

Advisor at JIM EARL FINANCIAL

WARREN, OH

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Search this name across graphsid dfx:ria:937a9e2b-0dce-226a-5dc4-cdab7d7e1fcf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: JIM EARL FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 12, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 12, 1989
First registration: Jan 2, 2003
Dual registered: no
Other names: JIM EARL
IAPD individual key: 1965373

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
JIM EARL FINANCIAL	State registered	Feb 6, 2009	n/a	yes	WARREN, OH	Current employment
GWN SECURITIES INC.	Bd affiliated wealth	Apr 7, 2008	Dec 31, 2008	no	PALM BEACH GARDENS, FL\|EUCLID, OH\|PALM BEACH GARDENS, FL\|NORTH BLOOMFIELD, OH	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Jan 24, 2007	Mar 14, 2008	no	NORTH BLOOMFILED, OH\|Carpinteria, CA\|NORTH BLOOMFIELD, OH	Previous registration
BRECEK & YOUNG ADVISORS, INC.	Former SEC adviser	Jan 2, 2003	Nov 13, 2003	no	CINCINNATI, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GWN SECURITIES INC.	JIM EARL FINANCIAL	Dec 31, 2008	Feb 6, 2009	37	Firm change	Other
PLANMEMBER SECURITIES CORPORATION	GWN SECURITIES INC.	Mar 14, 2008	Apr 7, 2008	24	Firm change	Other
BRECEK & YOUNG ADVISORS, INC.	PLANMEMBER SECURITIES CORPORATION	Nov 13, 2003	Jan 24, 2007	1,168	Firm change after gap	Other

Relationships

Registered with (4)

→ JIM EARL FINANCIALRegistered adviserregistration: current employment
Feb 6, 2009 to presentfactForm ADV
→ GWN SECURITIES INC.Registered adviserregistration: previous registration
Apr 7, 2008 to Dec 31, 2008factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 24, 2007 to Mar 14, 2008factForm ADV
→ BRECEK & YOUNG ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2003 to Nov 13, 2003factForm ADV

Dated events

No dated event names this entity yet.