James E. Lundgren

HG CAPITAL ADVISORS

Houston, TX

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CRD#: 2155757

Professional summary

James Erik Lundgren, who also goes by Ted Lundgren, is a registered financial advisor currently at HG CAPITAL ADVISORS, LLC located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. James has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ted Lundgren

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.

Ginger House Music, LLC - Principal (Not investment-related) Since 2017. Company is run from home address. Duties include music management, booking, and promotion for musical artist(s). Time spent is generally less than 20 hours per month. Numetrix Capital - Minority Partner (Investment related) Since 2014. Company address is 9108 Pine Street, Orland Park, IL 60462. Firm provides investment research and quantitative investment solutions to financial advisers. Time spent is approximately 30-40 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Erik Lundgren'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

August 18, 2003 - Present

HG CAPITAL ADVISORS, LLC

RIA

CRD#: 114653

Houston, TX

Past

September 17, 2014 - March 24, 2017

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

HOUSTON, TX

Past

March 8, 1999 - October 19, 2009

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

HOUSTON, TX

Past

March 17, 1995 - March 25, 1999

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

November 13, 1992 - March 29, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 30, 1991 - December 18, 1992

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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

Texas
(8/18/2003)

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: 1/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/3/1991

General Securities Representative Examination

Current Firm

HG CAPITAL ADVISORS, LLC

BYRON HAVEN | HG CAPITAL ADVISORS, LLC

CRD#: 114653 / SEC#: 801-68230

RIA

Registered Investment Advisory firm - (8/21/2013 Terminated)

Texas

Registered Investment Advisory firm - (8/9/2013 Approved)

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).

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Contact information

Main Address

Houston, TX

Mailing Address

Phone number

(281) 589-2623

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 18,660,308

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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Firm Stability Insights

James E. Lundgren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Erik Lundgren's CRS (Customer Relationship Summary).

Certified licenses

Experience

HG CAPITAL ADVISORS, LLC

CONCERT WEALTH MANAGEMENT

SECURITIES SERVICE NETWORK, LLC

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/12/1996

Series 63

Date: 9/23/1991

Series 7

Date: 9/3/1991

Current Firm

HG CAPITAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HG CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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