DAVID JAMES FINANCIAL
CRD #306301 SEC #801-123332 NORTH LIBERTY, IA 319 535-4525
SEC Registered Broker-Dealer
Total AUM
$116.1M
Discretionary
$116.1M
Employees
4
Clients
--
Accounts
391
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- Iowa
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 12, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BAEDKE, REBECCA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| BAEDKE, REBECCA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| BAEDKE, REBECCA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| BAEDKE, REBECCA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LANE, DAVID, JAMES | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| LANE, DAVID, JAMES | I | PRESIDENT | NA | Control |
| LANE, DAVID, JAMES | I | PRESIDENT | NA | Control |
| SENKYR, DAVID, PATRICK | I | VICE PRESIDENT | NA | Control |
| SENKYR, DAVID, PATRICK | I | VICE PRESIDENT | NA | Control |
| SENKYR, DAVID, PATRICK | I | VICE PRESIDENT | NA | Control |
| SENKYR, DAVID, PATRICK | I | VICE PRESIDENT | NA | Control |
| EN ENTERPRISES, LLC | DE | OWNER | E | Control |
| EN ENTERPRISES, LLC | DE | OWNER | E | Control |
| LANE, DAVID, JAMES | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| LANE, DAVID, JAMES | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| LANE, DAVID, JAMES | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| LANE, DAVID, JAMES | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| LANE, DAVID, JAMES | I | PRESIDENT | E | Control |
| LANE, DAVID, JAMES | I | PRESIDENT | E | Control |
| SENKYR, DAVID, PATRICK | I | VICE PRESIDENT | E | Control |
| SENKYR, DAVID, PATRICK | I | GENERAL PARTNER | E | Control |
| SENKYR, DAVID, PATRICK | I | GENERAL PARTNER | E | Control |
| LANE, DAVID, JAMES | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | B | Control |
| LANE, DAVID, JAMES | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SENKYR, DAVID, PATRICK | I | EN ENTERPRISES, LLC | E | Control |
| SENKYR, DAVID, PATRICK | I | EN ENTERPRISES, LLC | E | Control |
Registrations
Federal
IA
Feb 12, 2025 REGISTERED
Notice Filings (6)
IA IL KY LA NE TX
Address
595 ASHLEY COURT SUITE 2NORTH LIBERTY, IA 52317
United States
Phone: 319 535-4525