James E. Diacon

COUNCIL OAK WEALTH ADVISORS

Tulsa, OK 74137

Some features on this profile are disabled

CRD#: 1653168

Professional summary

James E Diacon, CFP®, ChFC®, who also goes by Jim Edward Diacon, Jim Diacon, is a registered financial advisor currently at COUNCIL OAK WEALTH ADVISORS located in Tulsa, Oklahoma.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Investment Planning

Insurance Planning

Business Succession Planning

Estate Planning

Retirement Planning

Debt Management

Tax Planning

Are you a "fiduciary"?

Yes

Aliases

Jim Edward Diacon | Jim Diacon

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)JNP, LLC / 2209 E 17TH PL., TULSA, OK 74104 / REAL ESTATE / RENTAL PROPERTIES / MEMBER / PARTICIPATING MEMBER / START DATE 9/6/2012. 2)AMBASSADOR HOLDINGS, LLC / 2209 E 17TH PL., TULSA, OK 74104 / HOLD PRIVATE INVESTMENTS / PARTNER /START DATE 5/19/2013. 3)THIRD BUCKET, LLC/ 2209 E 17TH PL., TULSA, OK 74104/COMPANY SET UP FOR TAX PURPOSES/NON-INVESTMENT RELATED/MANAGING MEMBER/START DATE:05/2018/01HR PER MONTH/00HRS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James E Diacon'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: 1999

ChFC^®

Chartered Financial Consultant

Experience

Current

June 11, 2018 - Present

COUNCIL OAK WEALTH ADVISORS

Office #1: 8801 S. Yale Avenue Suite 420, Tulsa, OK 74137

RIA

CRD#: 297180

Tulsa, OK

Past

January 16, 2009 - June 22, 2018

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

TULSA, OK

Past

January 16, 2009 - June 22, 2018

UBS FINANCIAL SERVICES INC.

CRD#: 8174

TULSA, OK

Past

September 1, 1987 - January 20, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TULSA, OK

Past

June 26, 1987 - January 20, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TULSA, OK

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".

COUNCIL OAK WEALTH ADVISORS

COUNCIL OAK WEALTH ADVISORS | COWA, LLC

CRD#: 297180 / SEC#: 801-113403

RIA

Registered Investment Advisory firm - (6/8/2018 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

Oklahoma
(6/11/2018)

IAR

Texas
(6/11/2018)

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

IAR

Series 65

Date: 10/7/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/29/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Current Firm

COUNCIL OAK WEALTH ADVISORS

COUNCIL OAK WEALTH ADVISORS | COWA, LLC

CRD#: 297180 / SEC#: 801-113403

RIA

Registered Investment Advisory firm - (6/8/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8801 S. Yale Avenue Suite 420, Tulsa, OK 74137

Mailing Address

3091 S.e. Washington Blvd. Ste B, Bartlesville, OK 74006

Phone number

(918) 984-9110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COUNCIL OAK WEALTH ADVISORS ADV PART 2 BROCHURE (6/27/2025)

Regulatory assets under management

Total Number of Accounts	890
AUM (Assets Under Management)	$ 435,179,814

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Darin Kight

LPL FINANCIAL LLC

IAR

Tulsa, OK

Thomas Loper

CORNERSTONE WEALTH MANAGEMENT, LLC

IAR

Tulsa, OK

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James E. Diacon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James E Diacon's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

COUNCIL OAK WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/1994

Series 63

Date: 7/17/1987

SIE

Date: 6/22/2018

Series 31

Date: 5/29/2009

Series 7

Date: 6/20/1987

Current Firm

COUNCIL OAK WEALTH ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COUNCIL OAK WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

Similar Advisors