James Edward Eckley Ii
Professional Summary
James Edward Eckley II, who also goes by James E Eckley, Jim Eckley, is a registered financial advisor currently at HARDWORKING CAPITAL ADVISORS, LLC located in Oxnard, California. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. James has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James E Eckley, Jim Eckley
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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WELLS FARGO CLEARING SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
HARDWORKING CAPITAL ADVISORS, L.L.C. | HARDWORKING CAPITAL ADVISORS, LLC
Contact Information
Main Address
34220 Gateway Drive Suite 120, Palm Desert, CA 92211Phone Number
(760) 340-3277# of Employees
2SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
871AUM (Assets Under Management)
$205,982,956Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
HARDWORKING CAPITAL ADVISORS, L.L.C. | HARDWORKING CAPITAL ADVISORS, LLC
State Registrations and Notice Filings
(6/15/2017)
(10/3/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Oct 2014Series 22 — Direct Participation Programs Representative Examination
Passed Feb 2014About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1988About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Edward Eckley II's CRS (Customer Relationship Summary).
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