James A. Wilding

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CRD#: 2356075

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Austin Wilding, who also goes by Jim Wilding, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Wilding

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.

1) Confluence Financial Partners; 732 E McMurray Rd McMurray PA 15317; Licensed Insurance Agent relating to insurance and/or annuity products & property and casualty insurance needs 2) Gregory James Ventures LLC; Canonsburg, PA ; Real Estate Development ; Investment Related: No ; Start Date: 03/14/2018 ; Hours per month devoted to this business: 5 ; Hours per month devoted to this business during trading hours: 3 ; Description of duties: We are buying real estate with the eventual goal of constructing a building that will be an office for Confluence Financial Partners.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 2, 2021 - April 1, 2025

CONFLUENCE FINANCIAL PARTNERS

RIA

CRD#: 311980

MCMURRAY, PA

Past

April 24, 2015 - July 7, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

PITTSBURGH, PA

Past

April 24, 2015 - July 7, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

McMurray, PA

Past

May 28, 2009 - May 6, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

PITTSBURGH, PA

Past

May 28, 2009 - May 6, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

PITTSBURGH, PA

Past

May 22, 2009 - May 26, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

PITTSBURGH, PA

Past

May 22, 2009 - May 26, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

PITTSBURGH, PA

Past

October 1, 1999 - May 22, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PITTSBURGH, PA

Past

October 1, 1999 - May 22, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PITTSBURGH, PA

Past

July 14, 1993 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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".

CONFLUENCE FINANCIAL PARTNERS

CONFLUENCE FINANCIAL PARTNERS | CONFLUENCE WEALTH SERVICES, INC. | CONFLUENCE FINANCIAL PARTNERS, INC.

CRD#: 311980 / SEC#: 801-120711

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/24/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/13/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/13/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/7/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/7/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

CONFLUENCE FINANCIAL PARTNERS

CONFLUENCE FINANCIAL PARTNERS | CONFLUENCE WEALTH SERVICES, INC. | CONFLUENCE FINANCIAL PARTNERS, INC.

CRD#: 311980 / SEC#: 801-120711

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

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Contact information

Main Address

732 E Mcmurray Rd, Mcmurray, PA 15317

Mailing Address

Phone number

(724) 271-8801

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE PART 2A DISCLOSURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	12,924
AUM (Assets Under Management)	$ 5,454,175,362

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. Wilding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

CONFLUENCE FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/1993

Series 63

Date: 7/23/1993

SIE

Date: 10/1/2018

Series 31

Date: 5/13/2004

Series 7

Date: 7/13/1993

Series 10

Date: 5/7/2002

Series 9

Date: 5/7/2002

Current Firm

CONFLUENCE FINANCIAL PARTNERS

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE FINANCIAL PARTNERS

TRUST BUT VERIFY

Contact information

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