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MJ

Martin E. James

MODERN WEALTH MANAGEMENT
MOORESVILLE, IN 46158
Some features on this profile are disabled
CRD#: 1087267
MJ

Professional summary

Martin Edwin James, who also goes by Martin E James, Marty James, is a registered financial advisor currently at MODERN WEALTH MANAGEMENT, LLC located in Mooresville, Indiana.

Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Martin has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Martin E James | Marty James

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.
(1) MARTIN JAMES, CPA, PC, 130 MEADOW LAKE DRIVE, MOORESVILLE, IN 456158. NOT INVESTMENT RELATED. START: 1986 PRES, CPA FOR TAX AND ACCOUNTING PRACTICE.HOURS/MO: 100, HOURS/MO DURING SECURITIES TRADING: 5. (2) DUCK, DUCK, GOOSE LLC - NOT INVESTMENT RELATED. 130 MEADOW LAKE DRIVE, MOORESVILLE, IN 46158. START DATE: 2002. MEMBER/MANAGER FOR FAMILY OWNED RECREATIONAL PROPERTY. HOURS/MO: .5. 0 DURING SECURITIES TRADING HOURS. (3) FIXED INSURACE. INVESTMENT RELATED. 130 MEADOWLAKE, MOORESVILLE, IN 46158, START DATE: 3/15/2007. OWNER/AGENT. IMPLEMENTING FIXED INS RECOMMENDED IN FINANCIAL PLANNING PRACTICE. HRS/MTHLY 15. HOURS/MONTHLY DURING SECURITIES TRADING: 2 (4) FLY CASTING INSTRUCTOR - NOT INVESTMENT RELATED. 562 NORTHFIELD RD. PLAINFIELD IN 46168. START DATE: 2018. FFF CERTIFIED FLY CASTING INSTRUCTOR. HOURS/MO: 5. 0 DURING SECURITIES TRADING HOURS. (5) HEARTLAND FLY FISHING FEST, INC., NOT INVESTMENT RELATED. START DATE 2018, 562 NORTHFIELD RD., PLAINFIELD, IN 46168. SECRETARY. MANAGE FLY FISHING EVENTS. HOURS/MO: .25. 0 DURING SECURITIES TRADING DAY. (8) HEARTLAND FLY FISHING FESTIVAL, INC - SECRETARY; ASSIST IN ANNUAL FLY FISHING SHOW. NON-INVESTMENT RELATED, NO COMPENSATION. 1 HR/MONTH. START DATE 01/2018

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Edwin James'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

October 16, 2023 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: 130 Meadow Lake Drive, Mooresville, IN 46158
RIA
CRD#: 324624
MOORESVILLE, IN
Past

August 4, 2009 - October 13, 2023

WORLD EQUITY GROUP, INC.

RIA
CRD#: 29087
MOORESVILLE, IN
Past

August 4, 2009 - October 13, 2023

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
MOORESVILLE, IN
Past

November 16, 2005 - August 6, 2009

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
MOORESVILLE, IN
Past

November 16, 2005 - August 6, 2009

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
MOORESVILLE, IN
Past

September 30, 1999 - January 5, 2006

CHARTER ADVISORY CORPORATION

RIA
CRD#: 113390
INDIANAPOLIS, IN
Past

March 31, 1999 - December 16, 2005

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

February 20, 1998 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

February 7, 1984 - January 31, 1986

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Past

February 22, 1983 - November 26, 1984

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881

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".
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 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
(10/16/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/31/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/19/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/19/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2008
General Securities Principal Examination

Current Firm

MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 Approved)
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Contact information

Main Address
13550 W 95th St., Lenexa, KS 66227
Mailing Address
Phone number
(913) 393-1000
Established
Firm type
Fiscal year end
# of Employees
150

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts18,823
AUM (Assets Under Management)$ 6,148,915,787

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.

Company Information

MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624Mooresville, IN 46158

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