James E. Eckley

HARDWORKING CAPITAL ADVISORS

Oxnard, CA 93036

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CRD#: 1873621

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James E Eckley | Jim Eckley

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.) JAMES ECKLEY II, LIFE INSURANCE SALES 2.) HARDWORKING CAPITAL ADVISORS, LLC; INVESTMENT ADVISOR REPRESENTATIVE; 25% OF TIME SPENT 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 4)NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 6/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Eckley II'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

June 15, 2017 - Present

HARDWORKING CAPITAL ADVISORS, LLC

Office #1: 2775 North Ventura Road Suite 207, Oxnard, CA 93036

RIA

CRD#: 226760

Oxnard, CA

Past

November 1, 2017 - April 17, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OXNARD, CA

Past

June 14, 2017 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

OXNARD, CA

Past

August 16, 2010 - June 20, 2017

NPB FINANCIAL GROUP, LLC

CRD#: 137743

VENTURA, CA

Past

January 28, 2010 - August 25, 2017

KIPP FINANCIAL GROUP, INC.

RIA

CRD#: 108811

VENTURA, CA

Past

June 4, 2008 - August 17, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

VENTURA, CA

Past

January 2, 2008 - June 5, 2008

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

WESTLAKE VILLAGE, CA

Past

August 30, 2007 - January 2, 2008

USA ADVANCED PLANNERS INC.

CRD#: 131282

GRAND RAPIDS, MI

Past

June 20, 2006 - March 9, 2007

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

December 6, 2000 - February 2, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

September 1, 1995 - December 31, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

August 7, 1990 - October 30, 1992

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

September 23, 1988 - June 22, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

HARDWORKING CAPITAL ADVISORS, LLC

HARDWORKING CAPITAL ADVISORS, L.L.C. | HARDWORKING CAPITAL ADVISORS, LLC

CRD#: 226760 / SEC#: 801-112113

RIA

Registered Investment Advisory firm - (12/7/2017 Approved)

California

Registered Investment Advisory firm - (1/6/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(6/15/2017)

IAR

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 12/29/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 10/21/2014

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 2/25/2014

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/20/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HARDWORKING CAPITAL ADVISORS, LLC

HARDWORKING CAPITAL ADVISORS, L.L.C. | HARDWORKING CAPITAL ADVISORS, LLC

CRD#: 226760 / SEC#: 801-112113

RIA

Registered Investment Advisory firm - (12/7/2017 Approved)

California

Registered Investment Advisory firm - (1/6/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2017 Terminated)

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Contact information

Main Address

34220 Gateway Drive Suite 120, Palm Desert, CA 92211

Mailing Address

Phone number

(760) 340-3277

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWC FORM ADV PART 2A & PART 2B DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	811
AUM (Assets Under Management)	$ 192,102,939

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

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Advisor Monitoring

Firm Stability Insights

James E. Eckley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Eckley II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

NPB FINANCIAL GROUP, LLC

KIPP FINANCIAL GROUP, INC.

NATIONAL PLANNING CORPORATION

CROWN CAPITAL SECURITIES, L.P.

USA ADVANCED PLANNERS INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

IFMG SECURITIES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

HARDWORKING CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2008

Series 63

Date: 8/12/2008

SIE

Date: 10/1/2018

Series 62

Date: 10/21/2014

Series 22

Date: 2/25/2014

Series 6

Date: 9/20/1988

Current Firm

HARDWORKING CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARDWORKING CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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