James D. Cavner

CAVNER SOCIAL ENTERPRISES

Austin, TX 78731

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CRD#: 1355156

Professional summary

James Dennis Cavner is a registered financial advisor currently at CAVNER SOCIAL ENTERPRISES, LLC located in Austin, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 24 and Series 39 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.

Design Run Group, LLC, non-investment related 1005 La Posada Drive, Austin, TX 78752; Chief Mission Officer, start date of business February 2019; number of hours devoted: 10 hours per week. The company seeks to improve the lives of people in vulnerable communities through innovation in health care; it is not an investment related business. Insurance Distributors International, non-investment related, 3602 Murillo Circle, Austin, TX 78703; Shareholder; start date of business 03/1999; number of hour devoted:less than 1 hour per month. The company is an insurance brokerage agency; it is not an investment related business. Austin Together; non-investment related; Austin, Texas; Nonprofit organization that fosters collaboration amount nonprofit organizations in Central Texas; Member, Board of Directors; Start date 2023; devotes 5 hours per month; 0 hours during securities trading hours; Serves as member of the Board of Directors, providing oversight and guidance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dennis Cavner's 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

January 7, 2015 - Present

CAVNER SOCIAL ENTERPRISES, LLC

Office #1: 3904 Petra Path, Austin, TX 78731

RIA

CRD#: 173606

Austin, TX

Past

October 30, 2001 - February 9, 2018

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

AUSTIN, TX

Past

October 30, 2001 - February 9, 2018

M HOLDINGS SECURITIES, INC.

CRD#: 43285

AUSTIN, TX

Past

July 1, 1992 - October 31, 2001

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

December 5, 1986 - July 1, 1992

KAVANAUGH SECURITIES, INC.

CRD#: 10606

DALLAS, TX

Past

July 5, 1985 - February 26, 1988

KENTOR WAXMAN INVESTMENTS, INC.

CRD#: 16305

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

Texas
(1/7/2015)

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: 4/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/24/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/1986

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 5/7/1985

Direct Participation Programs Principal Examination

Current Firm

CAVNER SOCIAL ENTERPRISES, LLC

CAVNER SOCIAL ENTERPRISES, LLC | CAVNER, JAMES

CRD#: 173606 / SEC#:

Texas

Registered Investment Advisory firm - (1/7/2015 Approved)

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Contact information

Main Address

3904 Petra Path, Austin, TX 78731

Mailing Address

Phone number

(512) 771-6719

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Advisor Monitoring

Firm Stability Insights

James D. Cavner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dennis Cavner's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

MUTUAL SERVICE CORPORATION

KAVANAUGH SECURITIES, INC.

KENTOR WAXMAN INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/1985

SIE

Date: 2/9/2018

Series 7

Date: 4/19/1986

Series 22

Date: 4/24/1985

Series 24

Date: 5/12/1986

Series 39

Date: 5/7/1985

Current Firm

CAVNER SOCIAL ENTERPRISES, LLC

Contact information

Documents

Red Flags

Company Information

CAVNER SOCIAL ENTERPRISES, LLC

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