James C. Sexton

WESTERN RESERVE CAPITAL MANAGEMENT

Hudson, OH 44236

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CRD#: 2127374

Professional summary

James Carl Sexton III, CFP®, who also goes by James Sexton, Jim Sexton, is a registered financial advisor currently at WESTERN RESERVE CAPITAL MANAGEMENT, LLC located in Hudson, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Sexton | Jim Sexton

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 Carl Sexton III'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

April 2, 2024 - Present

WESTERN RESERVE CAPITAL MANAGEMENT, LLC

Office #1: 102 First St #208, Hudson, OH 44236

RIA

CRD#: 329811

Hudson, OH

Past

May 3, 2011 - April 24, 2024

SOUTHLAND EQUITY PARTNERS, LLC.

RIA

CRD#: 154481

HUDSON, OH

Past

August 17, 2009 - December 21, 2020

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HUDSON, OH

Past

December 14, 2007 - December 21, 2020

FSC SECURITIES CORPORATION

CRD#: 7461

HUDSON, OH

Past

August 3, 2005 - December 14, 2007

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

AKRON, OH

Past

March 10, 2004 - August 3, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CINCINNATI, OH

Past

January 27, 2003 - March 4, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CINCINNATI, OH

Past

February 18, 1997 - August 3, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

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".

WESTERN RESERVE CAPITAL MANAGEMENT, LLC

PAUL, GAGE COBEY | WESTERN RESERVE CAPITAL MANAGEMENT, LLC | WESTERN RESERVE CAPITAL MANAGEMENT

CRD#: 329811 / SEC#: 801-135303

RIA

Registered Investment Advisory firm - (2/10/2026 Approved)

Ohio

Registered Investment Advisory firm - (2/11/2026 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

Ohio
(4/2/2024)

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

Series 63

Date: 8/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WESTERN RESERVE CAPITAL MANAGEMENT, LLC

PAUL, GAGE COBEY | WESTERN RESERVE CAPITAL MANAGEMENT, LLC | WESTERN RESERVE CAPITAL MANAGEMENT

CRD#: 329811 / SEC#: 801-135303

RIA

Registered Investment Advisory firm - (2/10/2026 Approved)

Ohio

Registered Investment Advisory firm - (2/11/2026 Terminated)

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Contact information

Main Address

102 First St #208, Hudson, OH 44236

Mailing Address

Phone number

(330) 655-1543

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRCM ADV PART 2A/2B (1/9/2026)

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 120,226,420

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.

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Advisor Monitoring

Firm Stability Insights

James C. Sexton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Carl Sexton III's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN RESERVE CAPITAL MANAGEMENT, LLC

SOUTHLAND EQUITY PARTNERS, LLC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

WESTERN RESERVE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/10/2011

Series 6

Date: 2/14/1997

Current Firm

WESTERN RESERVE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTERN RESERVE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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