James B. Exline

WABASH CAPITAL

TERRE HUTE, IN 47803

Some features on this profile are disabled

CRD#: 1003931

Professional summary

James Brian Exline is a registered financial advisor currently at WABASH CAPITAL, INC. located in Terre Hute, Indiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brian Exline's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 18, 1998 - Present

WABASH CAPITAL, INC.

Office #1: 2901 Ohio Blvd Suite 242, Terre Hute, IN 47803

RIA

CRD#: 107932

TERRE HUTE, IN

Past

December 18, 1998 - May 23, 2003

THE VERNALIS GROUP, LLC

RIA

CRD#: 116665

TERRE HAUTE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WABASH CAPITAL, INC.

WABASH CAPITAL, INC. | WABASH VALLEY CAPITAL MANAGEMENT INC

CRD#: 107932 / SEC#: 801-56063

RIA

Registered Investment Advisory firm - (11/25/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(12/18/1998)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/1997

Uniform Investment Adviser Law Examination

Current Firm

WABASH CAPITAL, INC.

WABASH CAPITAL, INC. | WABASH VALLEY CAPITAL MANAGEMENT INC

CRD#: 107932 / SEC#: 801-56063

RIA

Registered Investment Advisory firm - (11/25/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2901 Ohio Blvd Ste 242, Terre Haute, IN 47803

Mailing Address

Phone number

(812) 242-9113

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 2025 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	490
AUM (Assets Under Management)	$ 158,066,625

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Dubin

LPL FINANCIAL LLC

IAR

Valley, NY

Ronald Brown

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

NEW YORK, NY

Raymond Knezek

SEQUENT PLANNING, LLC

IAR

Houston, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James B. Exline

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brian Exline's CRS (Customer Relationship Summary).

Certified licenses

Experience

WABASH CAPITAL, INC.

THE VERNALIS GROUP, LLC

Primary Firm SEC Registration

WABASH CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/1997

Current Firm

WABASH CAPITAL, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WABASH CAPITAL, INC.

TRUST BUT VERIFY

Similar Advisors