James K. Johnston
ARETE WEALTH ADVISORS
Memphis, TN
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CRD#: 1689783
Professional summary
James Kevin Johnston, CFP® is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Memphis, Tennessee and ARETE WEALTH MANAGEMENT, LLC located in Memphis, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Planning
Estate Planning
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.
FINANCIAL RESOURCE MANAGEMENT: OFFICER/OWNER; FINANCIAL AND ESTATE PLANNING; FIXED INSURANCE PRODUCTS; MEMPHIS TN; 40 HRS/WEEK. RESOURCE EXCHANGE SERVICES, LLC: CHIEF MANAGER; ACT AS QUALIFIED INTERMEDIARY FOR 1031 EXCHANGES; LESS THAN 1 HR/WEEK. LIFE INSURANCE AGENT: INSURANCE SALES; MEMPHIS TN; 5 HRS/MTH.
CRS (Client Relationship Summary) - RIA
Click below to view James Kevin Johnston'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®
Start date: 2003
Experience
Current
January 5, 2023 - Present
ARETE WEALTH ADVISORS, LLC
RIA
CRD#: 145488
Memphis, TN
Current
January 2, 2009 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1648 West Massey Road #100, Memphis, TN 38120BD
CRD#: 44856
Memphis, TN
Past
October 29, 2008 - December 31, 2022
FINANCIAL RESOURCE MANAGEMENT, INC.
RIA
CRD#: 148305
MEMPHIS, TN
Past
May 21, 2004 - December 31, 2008
PRIVATE CONSULTING GROUP, INC.
RIA
CRD#: 45053
MEMPHIS, TN
Past
April 9, 2001 - December 31, 2008
PRIVATE CONSULTING GROUP, INC.
BD
CRD#: 45053
MEMPHIS, TN
Past
July 10, 2000 - April 16, 2001
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
August 27, 1999 - July 10, 2000
PRIVATE CONSULTING GROUP, INC.
BD
CRD#: 45053
PORTLAND, OR
Past
January 6, 1998 - August 31, 1999
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
June 20, 1996 - January 9, 1998
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
November 21, 1988 - June 20, 1996
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 13, 1988 - July 9, 1988
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
December 3, 1987 - June 28, 1988
NORTHCUTT-OWEN AND COMPANY
BD
CRD#: 14372
Past
June 11, 1987 - September 18, 1987
GENERAL FINANCIAL SERVICES, INC.
BD
CRD#: 17964
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".
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/31/2022)
RR
Arkansas(8/8/2018)
RR
California(8/18/2025)
RR
Florida(11/2/2021)
IAR
Florida(2/7/2023)
RR
Georgia(6/28/2018)
RR
Mississippi(2/27/2009)
RR
Pennsylvania(12/7/2021)
RR
South Carolina(12/16/2022)
RR
Tennessee(1/2/2009)
IAR
Tennessee(1/5/2023)
IAR
Texas(1/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
Phone number
(312) 940-3684
Established
Firm type
Fiscal year end
# of Employees
138
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,837 |
| AUM (Assets Under Management) | $ 3,152,167,506 |
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.
