Darrell S. James

TRANSCENDENT CAPITAL GROUP

Edmond, OK 73034

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CRD#: 1124647

Professional summary

Darrell Sheridan James is a registered financial advisor currently at TRANSCENDENT CAPITAL GROUP located in Edmond, Oklahoma.

Darrell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Darrell has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

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.

James Wealth Solutions, LLC; not investment-related; 1008 S Bryant Ave, Suite 210 Edmond OK 73034; primarily used for bookkeeping purposed & to process fees from the revenue of Transcendent Capital Group; 100% owner; Start Date 08/18/2022; 4 hours/month for bookkeeping purposes with this entity; 2 hours/month during normal trading hours. Darrell James Farm- Sole Proprietor; Not investment-related; 910509 S. 3400 Rd. Chandler, OK 74834; Farming/Ranching; Owner; Bought land in April 2023. Filed for farm exempt permit in December 2023 and received by mail in December 2023; 8-10 hours per month; 0 hours per month during securities trading hours; Assist my son-in-law with farming and ranching.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Sheridan 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

August 8, 2022 - Present

TRANSCENDENT CAPITAL GROUP

Office #1: 1008 South Bryant Avenue Suite 250, Edmond, OK 73034

RIA

CRD#: 316872

Edmond, OK

Past

July 1, 2003 - August 10, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

EDMOND, OK

Past

July 1, 2003 - August 10, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EDMOND, OK

Past

June 29, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

EDMOND, OK

Past

June 29, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 23, 1990 - July 16, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 28, 1990 - June 6, 1990

STOCKTON, HART, JOHNSTON, WICHERT & COMPANY

CRD#: 25327

Past

November 11, 1986 - July 3, 1989

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

October 11, 1985 - November 26, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 4, 1983 - October 22, 1985

ROTAN MOSLE INC.

CRD#: 727

Past

May 25, 1983 - September 27, 1983

ADAMS, JAMES, ABARR & COMPANY, INC.

CRD#: 7517

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".

TRANSCENDENT CAPITAL GROUP

TRANSCENDENT CAPITAL GROUP | TRANSCENDENT CAPITAL GROUP LLC

CRD#: 316872 / SEC#: 801-122512

RIA

Registered Investment Advisory firm - (10/15/2021 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

Arkansas
(8/9/2022)

IAR

California
(8/11/2022)

IAR

Louisiana
(8/10/2022)

IAR

Oklahoma
(8/8/2022)

IAR

Pennsylvania
(8/10/2022)

IAR

Texas
(8/8/2022)

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: 4/24/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/5/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/14/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/13/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

TRANSCENDENT CAPITAL GROUP

TRANSCENDENT CAPITAL GROUP | TRANSCENDENT CAPITAL GROUP LLC

CRD#: 316872 / SEC#: 801-122512

RIA

Registered Investment Advisory firm - (10/15/2021 Approved)

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Contact information

Main Address

1008 South Bryant Avenue Suite 250, Edmond, OK 73034

Mailing Address

Phone number

(405) 341-9188

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCG ADV PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	1,229
AUM (Assets Under Management)	$ 312,086,000

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.

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Firm Stability Insights

Darrell S. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Sheridan James's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STOCKTON, HART, JOHNSTON, WICHERT & COMPANY

RAUSCHER PIERCE REFSNES, INC.

PRUDENTIAL EQUITY GROUP, LLC

ROTAN MOSLE INC.

ADAMS, JAMES, ABARR & COMPANY, INC.

Primary Firm SEC Registration

TRANSCENDENT CAPITAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/2002

Series 63

Date: 4/29/1983

SIE

Date: 10/1/2018

Series 3

Date: 2/5/1986

Series 7

Date: 5/21/1983

Series 10

Date: 11/14/2001

Series 9

Date: 11/13/2001

Current Firm

TRANSCENDENT CAPITAL GROUP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRANSCENDENT CAPITAL GROUP

TRUST BUT VERIFY

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