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JT

James M. Tuohey

WILLIAM JOSEPH CAPITAL MANAGEMENT
Hot Springs, AR 71901
CRD#: 1828227
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JT
James Michael Tuohey SRWILLIAM JOSEPH CAPITAL MANAGEMENT

Professional summary

James Michael Tuohey SR, who also goes by James M Touhey, James Michael Tuohey, Michael Tuohey, Mike Tuohey, is a registered financial advisor currently at WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. located in Hot Springs, Arkansas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James M Touhey | James Michael Tuohey | Michael Tuohey | Mike Tuohey

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 Michael Tuohey SR'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

November 5, 2025 - Present

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

Office #1: 2836 Malvern Ave Suite G, Hot Springs, AR 71901
RIA
CRD#: 226535
Hot Springs, AR
Past

May 3, 2022 - October 1, 2025

GARLAND AND GREENWOOD WEALTH ADVISORS LLC

RIA
CRD#: 318815
ROLAND, AR
Past

May 27, 2015 - February 22, 2022

BOLMGREN RETIREPLAN, INC.

RIA
CRD#: 166560
CHICAGO, IL
Past

October 30, 2012 - November 14, 2013

SANDLAPPER WEALTH MANAGEMENT, LLC

RIA
CRD#: 164443
GREENVILLE, SC
Past

October 17, 2012 - September 3, 2013

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
GREENVILLE, SC
Past

May 14, 2012 - September 25, 2012

FIRST MIDWEST SECURITIES, INC.

RIA
CRD#: 21786
BLOOMINGTON, IL
Past

April 5, 2011 - September 25, 2012

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
BLOOMINGTON, IL
Past

June 8, 2010 - April 8, 2011

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
RICHMOND, VA
Past

July 9, 2009 - May 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
RICHMOND, VA
Past

August 2, 2007 - February 4, 2009

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA

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".
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN

CRD#: 226535 / SEC#: 801-119964

RIA
Registered Investment Advisory firm - (12/11/2020 Approved)
Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)
Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)
Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)
North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)
Texas
Registered Investment Advisory firm - (10/29/2021 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.

Highlighted states indicate IAR registrations

IAR
Arkansas
(11/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/5/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/19/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/27/2008
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/27/2007
General Securities Principal Examination

Current Firm

WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN

CRD#: 226535 / SEC#: 801-119964

RIA
Registered Investment Advisory firm - (12/11/2020 Approved)
Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)
Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)
Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)
North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)
Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)
Loading...

Contact information

Main Address
210 Red Stone Hill Road Suite 5, Bristol, CT 06010
Mailing Address
200 West Hartford Street #u, Milford, PA 18337
Phone number
(860) 973-3214
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WJCM ADV PART 2 (5/19/2025)

Regulatory assets under management

Total Number of Accounts1,153
AUM (Assets Under Management)$ 465,072,406

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

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

CRD#: 226535Hot Springs, AR 71901

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