James L. Olsen

MALVERN CAPITAL MANAGEMENT

Malvern, PA 19355

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CRD#: 1599511

Professional summary

James Lawrence Olsen, CFP®, who also goes by Jim Olsen, is a registered financial advisor currently at MALVERN CAPITAL MANAGEMENT located in Malvern, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. James has worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Olsen

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) Investment Related: No. I am a member of the finance committee for St John's Lutheran Church a non-profit charitable organization. In part, I assist in overseeing the finances of the church and spending less than 2% of my time. No hours are spent during normal trading hours. Phoenixville, PA 19460;Start date: 2019-02-24; (2) Kensworth Open Space Association; Phoenixville, PA 19460; Not investment-related; Community Home Owners Association; Position: Treasurer; Duties: On behalf of the Association, sign checks, make deposits, handle long-term savings accounts and keep track of individual homeowner's payments of dues.; Start date with business: 2019-05-20; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 5; 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 Lawrence Olsen'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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

April 2, 2018 - Present

MALVERN CAPITAL MANAGEMENT

Office #1: 5 Great Valley Parkway Suite 226, Malvern, PA 19355

RIA

CRD#: 292396

Malvern, PA

Past

August 13, 2016 - April 27, 2018

ONESOURCE RETIREMENT ADVISORS, INC.

RIA

CRD#: 119848

MALVERN, PA

Past

November 6, 2006 - November 6, 2006

PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES

RIA

CRD#: 15275

WAYNE, PA

Past

November 6, 2006 - November 14, 2006

PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES

CRD#: 15275

WAYNE, PA

Past

October 25, 2006 - November 14, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WAYNE, PA

Past

February 10, 2006 - August 25, 2006

CETERA ADVISORS LLC

CRD#: 10299

DEVON, PA

Past

February 1, 2006 - August 16, 2006

SMART FINANCIAL ADVISORS, LLC

RIA

CRD#: 118006

DEVON, PA

Past

August 3, 1993 - March 21, 2005

RADNOR FINANCIAL ADVISORS, INC.

RIA

CRD#: 20560

WAYNE, PA

Past

May 11, 1990 - February 6, 1992

RADNOR FINANCIAL ADVISORS, INC.

CRD#: 20560

Past

April 22, 1988 - July 23, 1988

VANGUARD MARKETING CORPORATION

CRD#: 7452

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".

MALVERN CAPITAL MANAGEMENT

MALVERN CAPITAL MANAGEMENT | MALVERN CAPITAL MANAGEMENT, LLC

CRD#: 292396 / SEC#: 801-131034

RIA

Registered Investment Advisory firm - (8/30/2024 Approved)

New Jersey

Registered Investment Advisory firm - (9/9/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Pennsylvania
(4/2/2018)

IAR

Texas
(4/30/2018)

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: 2/21/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/8/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/9/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/21/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MALVERN CAPITAL MANAGEMENT

MALVERN CAPITAL MANAGEMENT | MALVERN CAPITAL MANAGEMENT, LLC

CRD#: 292396 / SEC#: 801-131034

RIA

Registered Investment Advisory firm - (8/30/2024 Approved)

New Jersey

Registered Investment Advisory firm - (9/9/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2024 Terminated)

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Contact information

Main Address

5 Great Valley Parkway Suite 226, Malvern, PA 19355

Mailing Address

Phone number

(610) 979-1462

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

ADV2A&2B SEC (2/6/2025)

Regulatory assets under management

Total Number of Accounts	350
AUM (Assets Under Management)	$ 225,376,716

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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Advisor Monitoring

Firm Stability Insights

James L. Olsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Olsen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONESOURCE RETIREMENT ADVISORS, INC.

PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES

PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES

UVEST FINANCIAL SERVICES GROUP, INC.

CETERA ADVISORS LLC

SMART FINANCIAL ADVISORS, LLC

RADNOR FINANCIAL ADVISORS, INC.

RADNOR FINANCIAL ADVISORS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

MALVERN CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/2006

Series 65

Date: 7/8/1993

Series 7

Date: 2/9/2006

Series 6

Date: 4/21/1988

Current Firm

MALVERN CAPITAL MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MALVERN CAPITAL MANAGEMENT

TRUST BUT VERIFY

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