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JC

James T. Chandler

EXCELSIOR ADVISOR NETWORK LLC
CARLSBAD, CA
Some features on this profile are disabled
CRD#: 1405857
JC

Professional summary

James Timothy Chandler is a registered financial advisor currently at EXCELSIOR ADVISOR NETWORK LLC located in Carlsbad, California.

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 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Timothy Chandler'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

December 24, 2025 - Present

EXCELSIOR ADVISOR NETWORK LLC

RIA
CRD#: 334779
CARLSBAD, CA
Past

November 7, 2008 - June 12, 2022

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
SCOTTSDALE, AZ
Past

November 7, 2008 - June 12, 2022

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
SCOTTSDALE, AZ
Past

August 12, 2006 - November 17, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SCOTTSDALE, AZ
Past

August 12, 2006 - November 17, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SCOTTSDALE, AZ
Past

October 21, 2005 - August 12, 2006

PIPER SANDLER & CO.

RIA
CRD#: 665
SCOTTSDALE, AZ
Past

June 22, 1998 - August 12, 2006

PIPER SANDLER & CO.

BD
CRD#: 665
SCOTTSDALE, AZ
Past

November 25, 1991 - July 9, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 8, 1988 - November 25, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 25, 1985 - June 18, 1988

PIPER SANDLER & CO.

BD
CRD#: 665

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".
EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA
Registered Investment Advisory firm - (3/4/2025 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
Arizona
(1/2/2026)
IAR
California
(12/24/2025)
IAR
Colorado
(1/6/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/13/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/4/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/12/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/19/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/19/1992
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA
Registered Investment Advisory firm - (3/4/2025 Approved)
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Contact information

Main Address
Denver, CO
Mailing Address
Po Box 6195, Denver, CO 80206
Phone number
(303) 351-6436
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts78
AUM (Assets Under Management)$ 150,007,226

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

EXCELSIOR ADVISOR NETWORK LLC

CRD#: 334779Carlsbad, CA

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