James C. Carlton

CHJ WEALTH MANAGEMENT

THE WOODLANDS, TX 77380

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CRD#: 1376707

Professional summary

James Clark Carlton is a registered financial advisor currently at CHJ WEALTH MANAGEMENT located in The Woodlands, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 8 firms and has passed the Series 63, Series 65 and Series 7 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.

FANTASYLAND RECORDS LLC; investment related: No; Location of the business: 2004 Yaupon Valley Rd West Lake Hills TX 78746; Description of the business: Music Recording; Position Title: Partner; Responsibilities Duties: None; Start date with business: 2020-01-01; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Clark Carlton'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

August 20, 2010 - Present

CHJ WEALTH MANAGEMENT

Office #1: 10200 Grogan's Mill Road Suite 430, The Woodlands, TX 77380

RIA

CRD#: 154238

THE WOODLANDS, TX

Past

February 9, 2007 - August 23, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

February 9, 2007 - August 23, 2010

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

August 14, 2002 - March 2, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

HOUSTON, TX

Past

October 17, 2001 - March 2, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

HOUSTON, TX

Past

April 6, 2001 - October 18, 2001

HOWARD WEIL INCORPORATED

CRD#: 30958

NEW ORLEANS, LA

Past

April 29, 1999 - April 3, 2001

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

August 5, 1997 - April 13, 1999

CUTTER & COMPANY, INC.

CRD#: 22449

BALLWIN, MO

Past

July 25, 1988 - April 6, 1995

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

June 19, 1985 - July 29, 1988

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".

CHJ WEALTH MANAGEMENT

BLUEBONNET ADVISORS, LLC | CHJ WEALTH MANAGEMENT | CARLTON, HOFFERKAMP AND JENKS WEALTH MANAGEMENT, LLC

CRD#: 154238 / SEC#: 801-71684

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

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
(8/20/2010)

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: 8/12/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/31/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/4/1997

General Securities Representative Examination

Current Firm

CHJ WEALTH MANAGEMENT

BLUEBONNET ADVISORS, LLC | CHJ WEALTH MANAGEMENT | CARLTON, HOFFERKAMP AND JENKS WEALTH MANAGEMENT, LLC

CRD#: 154238 / SEC#: 801-71684

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

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Contact information

Main Address

10200 Grogan's Mill Road Suite 430, The Woodlands, TX 77380

Mailing Address

Phone number

(281) 298-2700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE - CHJ WEALTH MANAGEMENT (7/21/2025)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 540,307,144

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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James C. Carlton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

HOWARD WEIL INCORPORATED

INVEST FINANCIAL CORPORATION

CUTTER & COMPANY, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CHJ WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/1997

Series 65

Date: 1/31/1995

Series 7

Date: 8/4/1997

Current Firm

CHJ WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHJ WEALTH MANAGEMENT

TRUST BUT VERIFY

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