James L. Marshall

MARSHALL WEALTH MANAGEMENT

SUGAR LAND, TX 77478

CRD#: 1947199

Professional summary

James Louis Marshall JR, who also goes by James Louis Marshall, is a registered financial advisor currently at MARSHALL WEALTH MANAGEMENT, LLC located in Sugar Land, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

What makes you the best choice for clients?

Specialize in comprehensive financial planning, investment management and financial education

Are you a "fiduciary"?

Yes

Aliases

James Louis Marshall

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) MINI MOGULS EDUTAINMENT COMPANY IS A FINANCIAL EDUCATION COMPANY THAT PROVIDES FINANCIAL COMIC BOOKS TO SCHOOLS ACCROSS THE COUNTRY. IT IS NOT INVESTMENT RELATED. THE LOCATION IS 629 S. 4TH STREET STE#302 LOUISVILLE, KY 40202. MY ROLE IS PRESIDENT AND OWNER OF THE COMPANY AND I HAVE HELD THIS POSITION SINCE 12/2003. I SPEND ABOUT 10 HOURS PER WEEK ON THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Louis Marshall JR'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®

None

Experience

Current

February 27, 2003 - Present

MARSHALL WEALTH MANAGEMENT, LLC

Office #1: 1404 Lake Point Pkwy, Sugar Land, TX 77478

RIA

CRD#: 123661

SUGAR LAND, TX

Past

May 15, 2009 - March 12, 2010

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

LOUISVILLE, KY

Past

October 31, 2005 - May 28, 2009

OSAIC SERVICES, INC.

CRD#: 133763

LOUISVILLE, KY

Past

February 27, 2003 - December 31, 2003

MARSHALL WEALTH MANAGEMENT, LLC

RIA

CRD#: 123661

LOUISVILLE, KY

Past

May 4, 2001 - October 31, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 9, 1993 - April 18, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 9, 1993 - April 18, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 18, 1992 - December 25, 1992

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 18, 1992 - December 25, 1992

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Kentucky
(2/27/2003)

IAR

Texas
(1/1/2011)

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 66

Date: 12/12/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/14/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/4/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/2003

General Securities Principal Examination

Current Firm

MARSHALL WEALTH MANAGEMENT, LLC

MARSHALL CAPITAL MANAGEMENT GROUP | MARSHALL WEALTH MANAGEMENT, LLC

CRD#: 123661 / SEC#:

Kentucky

Registered Investment Advisory firm - (2/27/2003 Approved)

Texas

Registered Investment Advisory firm - (1/1/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1404 Lake Point Pkwy, Sugar Land, TX 77478

Mailing Address

1404 Lake Pointe Pkwy, Sugar Land, TX 77478

Phone number

(832) 440-7293

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	84
AUM (Assets Under Management)	$ 6,200,000

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James L. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Louis Marshall JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT BROKERAGE SERVICES, INC.

OSAIC SERVICES, INC.

MARSHALL WEALTH MANAGEMENT, LLC

SENTRA SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2002

Series 63

Date: 10/14/1992

Series 7

Date: 12/4/1997

Series 6

Date: 8/14/1992

Series 24

Date: 5/15/2003

Current Firm

MARSHALL WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARSHALL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors