James Michael Holcomb
Professional Summary
James Michael Holcomb, who also goes by James Holcomb, is a registered financial advisor currently at WESTWARD INVESTMENT ADVISORY. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 52 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Holcomb
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
WESTWARD INVESTMENT ADVISORY | WESTWARD INVESTMENT ADVISORY, LLC
Contact Information
Main Address
5201 Johnson Drive Suite 410, Mission, KS 66205Mailing Address
11414 W Park Place Suite 202, Milwaukee, WI 53224Phone Number
(414) 716-6300# of Employees
5SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
61AUM (Assets Under Management)
$571,508,980Similar Advisors
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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.
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Primary Firm SEC Registration
WESTWARD INVESTMENT ADVISORY | WESTWARD INVESTMENT ADVISORY, LLC
State Registrations and Notice Filings
(2/15/2016)
(6/27/2018)
(2/16/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1998About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Michael Holcomb's CRS (Customer Relationship Summary).
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