James A. Saling
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CRD#: 1780075
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Allen Saling, CFP®, who also goes by Jay Saling, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jay Saling
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) NAME: St. Xavier's High School Endowment; INVESTMENT-RELATED: Yes; ADDRESS: 1609 Poplar Level Rd, Louisville KY 40217; NATURE: Volunteer; POSITION/TITLE: Consultant/Advisor; START DATE: 01/1997; APPROX HRS/MO: 2-3 Hours; HRS DURING TRADING HRS: 1; DUTIES: Advisor. (2) NAME: Foursome, Inc.; INVESTMENT-RELATED: Yes; ADDRESS: 906 Woodland Heights Dr, Louisville KY 40245; NATURE: Real Estate; POSITION/TITLE: Partner; START DATE: 01/1997; APPROX HRS/MO: 0; HRS DURING TRADING HRS: 0; DUTIES: Advise on real estate investments. (3) NAME: KP Capital Rentals, LP; INVESTMENT-RELATED: Yes; ADDRESS: 9525 Inavale Ln, Brentwood TN 37027; NATURE: Company that invests in real estate; POSITION/TITLE: Limited Partner; START DATE: 05/08/2018; APPROX HRS/MO: 1; HRS DURING TRADING HRS: 0; DUTIES: Advise on real estate investments; Expected total yearly compensation derived from this business is 3%. (4) NAME: GPK Enterprises LLC; INVESTMENT-RELATED: Yes; ADDRESS: 2800 Chestnut Ridge Pl, Louisville, KY 40245; NATURE: Entity partially owns a piece of commercial real estate building; POSITION/TITLE: Co-Owner, Business Administration; START DATE: 08/01/2019; APPROX HRS/MO: 2; HRS DURING TRADING HRS: 1; DUTIES: Business administration; Expected total yearly compensation derived from this business is 3%. (5) NAME: Red Ace Capital Management Opportunity Fund, LP; INVESTMENT-RELATED: Yes; ADDRESS: 7735 Old Georgetown Rd, Ste 301, Bethesda MD 20814; NATURE: Red Ace Capital ("Red Ace") is the Greysteel Company's ("Greysteel") merchant banking affiliate that makes direct investments in real estate assets across all parts of the capital stack. These investments are focused primarily in the Greysteel footprint with equity requirements ranging from $500,000 to $5 million; POSITION/TITLE: Limited Partner; START DATE: 03/01/2021; APPROX HRS/MO: 1; HRS DURING TRADING HRS: 0; DUTIES: Advise on investments. (6) NAME: MM Lending, LLC; INVESTMENT-RELATED: Yes; ADDRESS: 4165 Westport Rd, Ste 204, Louisville KY 40207; NATURE: Real estate investments; POSITION/TITLE: Lender; START DATE: 2021; APPROX HRS/MO: 0; HRS DURING TRADING HRS: 0; DUTIES: Provide capital for real estate remodeling projects. (7) NAME: Global Game Changers; INVESTMENT-RELATED: No; ADDRESS: 201 E Main St, Ste 104, Louisville KY 40202; NATURE: Volunteer; POSITION/TITLE: Board member; START DATE: 2015; APPROX HRS/MO: Less than 1; HRS DURING TRADING HRS: 0; DUTIES: Serve on the Board.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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: 1992
Experience
Past
May 18, 2016 - October 3, 2025
SALING WEALTH ADVISORS
RIA
CRD#: 283226
LOUISVILLE, KY
Past
January 7, 2004 - April 19, 2016
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
LOUISVILLE, KY
Past
March 23, 1993 - April 19, 2016
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
May 16, 1990 - April 8, 1993
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 25, 1988 - May 18, 1990
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
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".
SW
SALING WEALTH ADVISORS
CARDINAL STRATEGIC WEALTH GUIDANCE, LLC | SALING WEALTH ADVISORS
CRD#: 283226 / SEC#: 801-107417
RIA
Registered Investment Advisory firm - (3/16/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
SALING WEALTH ADVISORS
CARDINAL STRATEGIC WEALTH GUIDANCE, LLC | SALING WEALTH ADVISORS
CRD#: 283226 / SEC#: 801-107417
RIA
Registered Investment Advisory firm - (3/16/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9750 Ormsby Station Road Suite 102, Louisville, KY 40223
Mailing Address
Phone number
(502) 805-3000
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 873 |
| AUM (Assets Under Management) | $ 517,571,656 |
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.
