James A. Werner

WAVERLY ADVISORS

AUSTIN, TX 78759

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CRD#: 2254147

Professional summary

James Allen Werner, CFP® is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Austin, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. 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

None

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.

VOICE FROM THE HILLS - BUSINESS IS NOT INVESTMENT-RELATED - 8834 N CAPITAL OF TEXAS HWY #200, AUSTIN, TX 78759 - PODCAST - HOST - START DATE IS 9/1/2021 - 10 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - SCHEDULE, PLAN, AND RECORD PODCAST EPISODES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Werner'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

Experience

Current

July 14, 2023 - Present

WAVERLY ADVISORS, LLC

Office #1: 8834 N Capital Of Texas Hwy #200, Austin, TX 78759

RIA

CRD#: 115332

AUSTIN, TX

Past

January 8, 2013 - August 17, 2023

SILICON HILLS WEALTH MANAGEMENT

RIA

CRD#: 166030

AUSTIN, TX

Past

February 27, 2009 - March 25, 2013

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

AUSTIN, TX

Past

February 27, 2009 - March 25, 2013

FSC SECURITIES CORPORATION

CRD#: 7461

AUSTIN, TX

Past

October 28, 2005 - February 27, 2009

ADVANTAGE CAPITAL CORPORATION

RIA

CRD#: 146

AUSTIN, TX

Past

October 28, 2005 - February 27, 2009

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

AUSTIN, TX

Past

December 14, 1993 - October 25, 2005

OSAIC WEALTH, INC.

RIA

CRD#: 23131

AUSTIN, TX

Past

December 13, 1993 - October 25, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 6, 1992 - August 27, 1992

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

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".

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

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

California
(7/14/2023)

IAR

Texas
(7/14/2023)

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: 7/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/29/1992

General Securities Representative Examination

Current Firm

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

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Contact information

Main Address

600 University Park Place Suite 501, Birmingham, AL 35209

Mailing Address

Phone number

(205) 871-3334

Established

Firm type

Fiscal year end

# of Employees

371

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts	34,313
AUM (Assets Under Management)	$ 28,263,743,199

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/27/2025	Cover Page	Report
02/16/2024	Cover Page	Report
06/15/2023	Cover Page	Report

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

xxxxx@xxxx.xxx

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Firm Stability Insights

James A. Werner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Werner's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILICON HILLS WEALTH MANAGEMENT

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

ADVANTAGE CAPITAL CORPORATION

ADVANTAGE CAPITAL CORPORATION

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

DICKINSON & CO.

Primary Firm SEC Registration

WAVERLY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2006

Series 63

Date: 8/11/1992

Series 7

Date: 7/29/1992

Current Firm

WAVERLY ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WAVERLY ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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