James A. Checksfield

Some features on this profile are disabled

CRD#: 1232958

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Andrew Checksfield was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 21, 2007 - January 2, 2019

AXIOM ASSET MANAGEMENT

RIA

CRD#: 145186

WAYNE, PA

Past

January 27, 2006 - December 21, 2007

AXIOM ASSET MANAGEMENT, LLC

RIA

CRD#: 125691

RADNOR, PA

Past

January 12, 2005 - December 31, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Wayne, PA

Past

October 28, 1999 - March 4, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 30, 1992 - October 19, 1999

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 11, 1991 - April 9, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 20, 1984 - November 19, 1990

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 23, 1984 - October 17, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

AXIOM ASSET MANAGEMENT

AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC

CRD#: 145186 / SEC#: 801-68405

RIA

Registered Investment Advisory firm - (10/4/2007 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/27/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/27/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

AXIOM ASSET MANAGEMENT

AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC

CRD#: 145186 / SEC#: 801-68405

RIA

Registered Investment Advisory firm - (10/4/2007 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

550 E Swedesford Rd Suite 110, Wayne, PA 19087

Mailing Address

Phone number

(610) 688-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AXIOM ASSET MANAGEMENT FORM ADV PART 2A MARCH 31, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	598
AUM (Assets Under Management)	$ 802,765,223

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Checksfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AXIOM ASSET MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

AXIOM ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/1994

Series 63

Date: 5/21/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Series 24

Date: 8/13/1997

Series 8

Date: 11/27/1985

Current Firm

AXIOM ASSET MANAGEMENT

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIOM ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors