James W. Clark

WORTH ASSET MANAGEMENT

DALLAS, TX 75248

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CRD#: 1225726

Professional summary

James Willard Clark, who also goes by Jim W. Clark, is a registered financial advisor currently at WORTH ASSET MANAGEMENT located in Dallas, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim W. Clark

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.

INDEPENDENT INSURANCE AGENT NON-INVESTMENT RELATED 16660 DALLAS PARKWAY STE 1600 DALLAS TX 75248 INSURANCE & ANNUITY SALES TITLE: INDEPENDENT AGENT START DATE: MARCH 1985 10 HOURS / MONTH DUTIES: MARKETING & SALES OF TRADITIONAL INSURANCE, LIFE & ANNUITIES WORTH FINANCIAL GROUP BROKER-DEALER, RIA PRESIDENT, OWNER, REGISTERED REPRESENTATIVE, INVESTMENT ADVISOR AGENT START DATE: MAY 2001 HOURS/MONTH: 120 DUTIES: MANAGEMENT, SUPERVISION & SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Willard Clark'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

June 6, 2013 - Present

WORTH ASSET MANAGEMENT

Office #1: 16660 Dallas Parkway Suite 1000, Dallas, TX 75248

RIA

CRD#: 166970

DALLAS, TX

Past

June 10, 2014 - September 26, 2016

MOWERY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 130761

DALLAS, TX

Past

July 9, 2007 - December 31, 2020

WORTH FINANCIAL GROUP INC.

RIA

CRD#: 13478

DALLAS, TX

Past

October 16, 2006 - November 6, 2013

MOWERY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 130761

DALLAS, TX

Past

March 5, 2003 - December 31, 2004

OXFORD ADVISORS CORPORATION

RIA

CRD#: 113581

DALLAS, TX

Past

May 7, 2001 - December 31, 2020

WORTH FINANCIAL GROUP INC.

CRD#: 13478

DALLAS, TX

Past

December 9, 1999 - December 31, 2002

OXFORD ADVISORS CORPORATION

RIA

CRD#: 113581

DALLAS, TX

Past

December 9, 1999 - December 31, 2003

OXFORD FINANCIAL GROUP

CRD#: 40700

HOUSTON, TX

Past

May 21, 1991 - November 19, 1999

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

March 21, 1986 - August 2, 1999

WORTH FINANCIAL GROUP INC.

CRD#: 13478

DALLAS, TX

Past

June 4, 1985 - April 1, 1986

ANSPACHER SECURITIES, INC.

CRD#: 7377

Past

November 26, 1984 - May 22, 1985

PBS SECURITIES, INC.

CRD#: 15343

Past

January 26, 1984 - November 13, 1984

TEXAS SECURITIES, INC.

CRD#: 7655

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".

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC

CRD#: 166970 / SEC#: 801-122206

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Texas

Registered Investment Advisory firm - (11/11/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(10/25/2021)

IAR

Texas
(6/6/2013)

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: 2/28/1992

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: 4/19/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 6/5/1991

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/15/1984

General Securities Principal Examination

Current Firm

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC

CRD#: 166970 / SEC#: 801-122206

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Texas

Registered Investment Advisory firm - (11/11/2021 Terminated)

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Contact information

Main Address

16660 Dallas Parkway Suite 1000, Dallas, TX 75248-2612

Mailing Address

Phone number

(469) 257-5074

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FEB 2022 (2/12/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 270,009,431

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 W. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Willard Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOWERY CAPITAL MANAGEMENT, LLC

WORTH FINANCIAL GROUP INC.

MOWERY CAPITAL MANAGEMENT, LLC

OXFORD ADVISORS CORPORATION

WORTH FINANCIAL GROUP INC.

OXFORD ADVISORS CORPORATION

OXFORD FINANCIAL GROUP

RUSHMORE SECURITIES CORPORATION

WORTH FINANCIAL GROUP INC.

ANSPACHER SECURITIES, INC.

PBS SECURITIES, INC.

TEXAS SECURITIES, INC.

Primary Firm SEC Registration

WORTH ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/1992

SIE

Date: 10/1/2018

Series 3

Date: 4/19/1984

Series 7

Date: 1/21/1984

Series 28

Date: 6/5/1991

Series 24

Date: 8/15/1984

Current Firm

WORTH ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WORTH ASSET MANAGEMENT

TRUST BUT VERIFY

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