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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

John Douglas James

Advisor at COPPER FINANCIAL

Des Peres, MO | Lenexa, KS

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Search this name across graphsid dfx:ria:ebd55045-c460-8bdb-3b93-68ab38256d1d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 19, 2007 to Sep 15, 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: COPPER FINANCIAL
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 7, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 7, 2007
First registration: Dec 19, 2007
Dual registered: yes, broker-dealer
Other names: Doug James
IAPD individual key: 5408754

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
COPPER FINANCIAL	Independent wealth	Sep 28, 2023	n/a	yes	Des Peres, MO\|Lenexa, KS	Current employment
EDWARD JONES	National bd RIA	Dec 2, 2016	Sep 29, 2023	no	ST LOUIS, MO	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	May 30, 2014	Dec 2, 2016	no	ST. LOUIS, MO	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Nov 13, 2013	no	MEMPHIS, TN	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Dec 19, 2007	Feb 13, 2013	no	MEMPHIS, TN	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
EDWARD JONES	COPPER FINANCIAL	Sep 29, 2023	Sep 28, 2023	-1	Firm change	Ibd to RIA
STIFEL, NICOLAUS & COMPANY, INCORPORATED	EDWARD JONES	Dec 2, 2016	Dec 2, 2016	0	Firm change	Ibd to ibd
RAYMOND JAMES & ASSOCIATES, INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Nov 13, 2013	May 30, 2014	198	Firm change	Ibd to ibd
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other

Relationships

Registered with (5)

→ COPPER FINANCIALRegistered adviserregistration: current employment
Sep 28, 2023 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 2, 2016 to Sep 29, 2023factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
May 30, 2014 to Dec 2, 2016factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Nov 13, 2013factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Dec 19, 2007 to Feb 13, 2013factForm ADV

Dated events

Occurred
Sep 29, 2023
Advisor changed firm
John Douglas James left Edward Jones for Copper Financial (registered 2023-09-28)
Form ADVobserved 5 days ago