James E. Wheeler

JAMES WHEELER & CO. ADVISORS

Centennial, CO 80122

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CRD#: 1953865

Professional summary

James Edward Wheeler II, who also goes by James Edward Wheeler Jr, Jim Wheeler II, is a registered financial advisor currently at JAMES WHEELER & CO. ADVISORS located in Centennial, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Edward Wheeler Jr | Jim Wheeler Ii

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.

JAMES WHEELER & CO. - DBA, INVESTMENT RELATED, Centennial, CO 80122, PRESIDENT/OWNER, SINCE 1993, LESS THAN 5 HOURS/MO ALL OF WHICH ARE DURING TRADING HOURS. SELECT QUOTE, INVESTMENT RELATED, Centennial, CO 80122, MEDICARE SUPPLEMENT AND INSURANCE SALES, INSURANCE AGENT, SINCE 08/2018, LESS THAN 40/HR MONTH ALL OF WHICH ARE DURING TRADING HOURS. PERSONAL PENSION CORPORATION, INVESTMENT RELATED, Centennial, CO 80122, ANNUITY SALES, INSURANCE AGENT, LESS THAN 40 HOURS/MO ALL OF WHICH ARE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Wheeler II'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

December 20, 2019 - Present

JAMES WHEELER & CO. ADVISORS

Office #1: 6901 S. Race Street #101, Centennial, CO 80122

RIA

CRD#: 306498

Centennial, CO

Past

September 18, 2018 - December 23, 2019

CREATIVEONE WEALTH, LLC

RIA

CRD#: 281213

Centennial, CO

Past

March 6, 2018 - June 15, 2018

RICHFIELD ORION INTERNATIONAL, INC.

CRD#: 24433

CASTLE ROCK, CO

Past

February 5, 2018 - February 20, 2018

PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.

CRD#: 23651

CASTLE ROCK, CO

Past

August 25, 2010 - April 9, 2013

1ST DISCOUNT BROKERAGE, INC.

RIA

CRD#: 39164

Lone Tree, CO

Past

June 16, 2003 - August 8, 2017

1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164

Lone Tree, CO

Past

May 24, 1995 - July 22, 2003

JAMES WHEELER & CO. INVESTMENTS, INC.

CRD#: 38157

DENVER, CO

Past

November 7, 1994 - May 31, 1995

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

March 14, 1991 - February 19, 1993

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

January 30, 1990 - March 6, 1991

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 23, 1990 - February 14, 1990

JJC SECURITIES CO., INC.

CRD#: 3144

Past

September 21, 1989 - February 5, 1990

HANIFEN, IMHOFF SECURITIES CORP.

CRD#: 10620

Past

August 25, 1989 - December 14, 1989

RICHFIELD SECURITIES, INC.

CRD#: 16109

Past

May 24, 1989 - July 18, 1989

CETERA ADVISORS LLC

CRD#: 10299

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

Colorado
(12/20/2019)

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 66

Date: 7/3/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/28/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 9/24/1997

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/5/1995

General Securities Principal Examination

Current Firm

JAMES WHEELER & CO. ADVISORS

CRD#: 306498 / SEC#:

Colorado

Registered Investment Advisory firm - (12/20/2019 Approved)

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Contact information

Main Address

Highlands Ranch, CO

Mailing Address

Phone number

(303) 757-2500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 8,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James E. Wheeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CREATIVEONE WEALTH, LLC

RICHFIELD ORION INTERNATIONAL, INC.

PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.

1ST DISCOUNT BROKERAGE, INC.

1ST DISCOUNT BROKERAGE, INC.

JAMES WHEELER & CO. INVESTMENTS, INC.

APEX CLEARING CORPORATION

AMERIPRISE ADVISOR SERVICES, INC.

DAIN RAUSCHER INCORPORATED

JJC SECURITIES CO., INC.

HANIFEN, IMHOFF SECURITIES CORP.

RICHFIELD SECURITIES, INC.

CETERA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2018

Series 63

Date: 11/28/1989

SIE

Date: 6/15/2018

Series 7

Date: 5/20/1989

Series 28

Date: 9/24/1997

Series 24

Date: 1/5/1995

Current Firm

JAMES WHEELER & CO. ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAMES WHEELER & CO. ADVISORS

TRUST BUT VERIFY

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