Unclaimed Profile

James Walter Guthrie

PROMUS CAPITAL, LLC·CHICAGO, Illinois

SIE, Series 7, Series 9, Series 10, Series 31, Series 63, Series 66Clean record25 years registeredPROMUS CAPITAL, LLC

30 SOUTH WACKER DRIVE, CHICAGO, IL 60606CRD# 4332527Firm CRD# 147597

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Walter Guthrie · CHICAGO, IL

Registration

CRD #4332527 · PROMUS CAPITAL, LLC · 25 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PROMUS CAPITAL, LLC

WELLS FARGO CLEARING SERVICES, LLC

Aug 2017 – May 2020

OAK BROOK, IL

SUPERNOVA ASSET STRATEGIES

Feb 2016 – Jun 2017

chicago, IL

BETAFRONTIER

Jul 2015 – May 2017

CHICAGO, IL

PROMUS CAPITAL, LLC

Feb 2014 – Jun 2015

CHICAGO, IL

DAVID A. NOYES & COMPANY

Aug 2011 – Dec 2013

CHICAGO, IL

FIRST COMMAND FINANCIAL PLANNING, INC.

Aug 2010 – Aug 2011

NAPERVILLE, IL

UBS FINANCIAL SERVICES INC.

May 2007 – Mar 2010

WEEHAWKEN, NJ

MERRILL LYNCH PIERCE FENNER & SMITH INC.

Apr 2001 – Apr 2007

SCHAUMBURG, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 31

Series 63

Series 66

Registration record

First registered · April 10, 2001

Years registered · 25

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PROMUS CAPITAL, LLC

CRD 147597 · SEC 801-69649

AUM

$1.4B

Regulatory assets under management

Employees

507 client accounts

Services offered by PROMUS CAPITAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PROMUS CAPITAL, LLC →

Introduction

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Frequently Asked Questions

What services does James Walter Guthrie offer?

James Walter Guthrie specializes in Financial Planning, Investment Management, Wealth Management.

What are James Walter Guthrie's credentials?

James Walter Guthrie is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Walter Guthrie located?

James Walter Guthrie is based in CHICAGO, Illinois, last registered with PROMUS CAPITAL, LLC.

How does James Walter Guthrie charge for services?

James Walter Guthrie's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PROMUS CAPITAL, LLC?

PROMUS CAPITAL, LLC has approximately 28 employees and manages $1.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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