Unclaimed Profile

James Harrell Ross

SWS FINANCIAL SERVICES, INC.·DALLAS, Texas

SIE, Series 3, Series 7, Series 8, Series 22, Series 24, Series 39, Series 63, Series 6528 years registeredSWS FINANCIAL SERVICES, INC.

1201 ELM STREET, DALLAS, TX 75270CRD# 815598Firm CRD# 17587

Profile Verification

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

Identity

James Harrell Ross · DALLAS, TX

Registration

CRD #815598 · SWS FINANCIAL SERVICES, INC. · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SWS FINANCIAL SERVICES, INC.

SWS FINANCIAL SERVICES, INC.

Jan 2007 – Apr 2015

DALLAS, TX

SOUTHWEST SECURITIES, INC.

Jan 2005 – Apr 2015

DALLAS, TX

UBS FINANCIAL SERVICES INC.

Aug 1998 – Jan 2004

PALM DESERT, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 22

Series 24

Series 39

Series 63

Series 65

Registration record

First registered · August 4, 1998

Years registered · 28

Disclosure History

1982Regulatory·Final

1981Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

MOMENTUM INDEPENDENT NETWORK INC.

CRD 17587 · SEC 801-60812

AUM

$1.1B

Regulatory assets under management

Employees

139

3,528 client accounts

Services offered by MOMENTUM INDEPENDENT NETWORK INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at MOMENTUM INDEPENDENT NETWORK INC. →

Introduction

Speak with James Harrell

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if James Harrell is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in DALLAS?

Browse all registered financial advisors in DALLAS, Texas or claim this profile if it's yours.

Browse DALLAS Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does James Harrell Ross offer?

James Harrell Ross specializes in Financial Planning, Investment Management.

What are James Harrell Ross's credentials?

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

Where is James Harrell Ross located?

James Harrell Ross is based in DALLAS, Texas, last registered with SWS FINANCIAL SERVICES, INC..

How does James Harrell Ross charge for services?

James Harrell Ross's firm is compensated through percentage of aum, hourly charges, subscription fees, other: 12b-1 fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SWS FINANCIAL SERVICES, INC.?

SWS FINANCIAL SERVICES, INC. has approximately 139 employees and manages $1.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →