James D. Waite

CHECK CAPITAL MANAGEMENT

Costa Mesa, CA 92626-7685

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CRD#: 1160161

Professional summary

James Douglas Waite, who also goes by Jim Waite, is a registered financial advisor currently at CHECK CAPITAL MANAGEMENT INC located in Costa Mesa, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 63, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Waite

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 Douglas Waite'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

March 30, 2007 - Present

CHECK CAPITAL MANAGEMENT INC

Office #1: 575 Anton Blvd Ste 500, Costa Mesa, CA 92626-7685

RIA

CRD#: 107058

Costa Mesa, CA

Past

July 8, 1997 - February 21, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

MISSION VIEJO, CA

Past

February 5, 1997 - February 21, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

MISSION VIEJO, CA

Past

August 13, 1991 - January 20, 1997

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

May 9, 1991 - August 8, 1991

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

December 20, 1990 - April 4, 1991

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

April 28, 1988 - March 20, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 28, 1988 - March 20, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 19, 1983 - March 11, 1988

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

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".

CHECK CAPITAL MANAGEMENT INC

CRD#: 107058 / SEC#: 801-29001

RIA

Registered Investment Advisory firm - (3/6/1987 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

California
(3/30/2007)

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

Series 63

Date: 8/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/5/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/5/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/1992

General Securities Principal Examination

Current Firm

CHECK CAPITAL MANAGEMENT INC

CRD#: 107058 / SEC#: 801-29001

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

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Contact information

Main Address

575 Anton Blvd Ste 500, Costa Mesa, CA 92626-7685

Mailing Address

Phone number

(714) 641-3579

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03/26/25 ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,311
AUM (Assets Under Management)	$ 2,093,504,641

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

James D. Waite

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Douglas Waite's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

GRIFFIN FINANCIAL SERVICES

INTERFIRST CAPITAL CORPORATION

ADVANTAGE CAPITAL CORPORATION

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

CHECK CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/1991

Series 7

Date: 10/15/1983

Series 10

Date: 8/5/2002

Series 9

Date: 8/5/2002

Series 24

Date: 7/30/1992

Current Firm

CHECK CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHECK CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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