JK
James R. Kidwell
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CRD#: 1284843
JK
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 Robert Kidwell, who also goes by Jim Kidwell, 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 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Kidwell
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) 11/29/2012 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - Term, Whole, Universal, DI, Fixed Annuity - 30% TIME SPENT. (2) 11/29/2012 - Kidwell & Company - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION - 0% TIME SPENT. (3) 2/26/2021 - Householder Group Estate & Retirement Specialists - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/29/2021 - 120 Hours Per Month/80 Hours During Securities Trading.
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®
NoneExperience
Past
February 26, 2021 - April 19, 2023
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 169045
Houston, TX
Past
April 22, 2013 - July 23, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
FULSHEAR, TX
Past
November 30, 2012 - July 12, 2021
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
HOUSTON, TX
Past
November 29, 2012 - May 4, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
FULSHEAR, TX
Past
October 15, 1993 - November 21, 1997
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 7, 1991 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
HOUSTON, TX
Past
June 7, 1991 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
HOUSTON, TX
Past
June 18, 1989 - June 12, 1991
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 10, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
July 26, 1984 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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".
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
Registered Investment Advisory firm - (9/20/2013 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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
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Contact information
Main Address
8985 E. Bell Road, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 604-0600
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
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
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
