James L. Tewalt

EPS WEALTH MANAGEMENT

Glendale, AZ

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CRD#: 1356114

Professional summary

James Lee Tewalt, CFP®, who also goes by Jim Tewalt, is a registered financial advisor currently at EPS WEALTH MANAGEMENT located in Glendale, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 13 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Tewalt

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.

EPS-DOC-PREP, LLC, ESTABLISHED 02/2011. NON-INVESTMENT, LEGAL DOCUMENT PREPARATION, MR. TEWALT IS A CERTIFIED LEGAL DOCUMENT PREPARER, 6502 W SOFT WIND DR GLENDALE, AZ 85310, APPROX 60 HRS/MO NOT DURING TRADING HOURS. THIS ENTITY IS NOT SET UP AS A LEGAL DOCUMENT PREPARER BUSINESS AS YET. MR. TEWALT PREPARES LEGAL DOCUMENTS AS A SOLE PROPRIETOR AT THIS TIME. ESTATE PLANNING SOLUTIONS, INC., ESTABLISHED 01/1994, LIFE & HEALTH INSURANCE AGENCY, 6502 W SOFT WIND DR, GLENDALE, AZ 85310. MR. TEWALT IS PRESIDENT & A LICENSED HEALTH & LIFE INSURANCE AGENT. DUTIES INCLUDE THE SALE OF LIFE INSURANCE & FIXED ANNUITIES & THE PREPARATION OF INCOME TAX RETURNS. TEWALT'S KICKIN' KORRAL, LLC. HORSE BOARDING, APPROX 10 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Tewalt'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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

February 28, 2012 - Present

EPS WEALTH MANAGEMENT

RIA

CRD#: 158468

Glendale, AZ

Past

January 5, 2005 - March 14, 2005

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

PHOENIX, AZ

Past

December 9, 2004 - March 14, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

January 8, 2003 - December 31, 2007

ESTATE PLANNING SOLUTIONS, INC.

RIA

CRD#: 124287

GLENDALE, AZ

Past

March 8, 2002 - December 31, 2002

LOCUST STREET SECURITIES, INC.

RIA

CRD#: 1703

GLENDALE, AZ

Past

January 4, 1999 - December 31, 2002

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

February 12, 1998 - January 5, 1999

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

August 6, 1997 - February 12, 1998

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

August 14, 1991 - October 29, 1997

CULLUM & SANDOW SECURITIES, INC.

CRD#: 15836

DALLAS, TX

Past

August 29, 1990 - September 3, 1991

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

November 8, 1989 - September 18, 1990

CULLUM & SANDOW SECURITIES, INC.

CRD#: 15836

DALLAS, TX

Past

May 24, 1988 - November 14, 1989

AMI SECURITIES, INC.

CRD#: 13412

Past

April 23, 1987 - May 31, 1988

VP DISTRIBUTORS LLC

CRD#: 3036

Past

June 27, 1986 - May 6, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

September 17, 1985 - July 21, 1986

NATIONAL SELECTED SECURITIES CORP.

CRD#: 8299

Past

May 1, 1985 - September 23, 1985

WINDSOR EQUITY CORPORATION

CRD#: 13093

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

Arizona
(2/28/2012)

IAR

Texas
(5/1/2017)

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: 4/24/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2001

General Securities Principal Examination

Current Firm

EPS WEALTH MANAGEMENT

CRD#: 158468 / SEC#:

Arizona

Registered Investment Advisory firm - (2/28/2012 Approved)

Texas

Registered Investment Advisory firm - (4/25/2017 Conditional Restricted)

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Contact information

Main Address

Glendale, AZ

Mailing Address

Phone number

(623) 537-3657

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	299
AUM (Assets Under Management)	$ 30,100,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James L. Tewalt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Tewalt's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

ESTATE PLANNING SOLUTIONS, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

CULLUM & SANDOW SECURITIES, INC.

THE ADVISORS GROUP, INC.

CULLUM & SANDOW SECURITIES, INC.

AMI SECURITIES, INC.

VP DISTRIBUTORS LLC

FSC SECURITIES CORPORATION

NATIONAL SELECTED SECURITIES CORP.

WINDSOR EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/1998

Series 63

Date: 5/2/1985

Series 7

Date: 4/20/1985

Series 24

Date: 1/2/2001

Current Firm

EPS WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EPS WEALTH MANAGEMENT

TRUST BUT VERIFY

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