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James David Ennis

Investment Adviser Representative at FOCUS FINANCIAL

Des Moine, IACRD #1961884Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
35 yrs
States Registered
10 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 10 states
CaliforniaFloridaIllinoisIowaMinnesotaMissouriNebraskaOklahomaTexasWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/27/1997
Series 63
Uniform Securities Agent State Law Examination
Passed 7/14/1989
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/7/1995
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 7/14/1989

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Focus Financial Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FOCUS FINANCIALCurrent
10/4/2018Des Moine, IA
VOYA FINANCIAL ADVISORS, INC.
1/1/200410/2/2018Des Moines, IA
LOCUST STREET SECURITIES, INC.
2/25/20021/1/2004Des Moines, IA
ENNIS PLANNING SERVICES
8/29/200212/31/2003Des Moines, IA
VESTAX SECURITIES CORPORATION
3/1/20019/6/2002Des Moines, IA

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James David Ennis has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James David Ennis - Financial Advisor in Des Moine, IA | AdvisorFinder