James B. Olmore

UNITED CAPITAL FINANCIAL ADVISORS

CARLSBAD, CA

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CRD#: 2384040

Professional summary

James B Olmore, CFP®, who also goes by James Brian Olmore, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Carlsbad, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. James has worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Brian Olmore

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 B Olmore'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: 2006

Experience

Current

October 21, 2016 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #2: 620 Newport Center Drive Suite 1030, Newport Beach, CA 92660

RIA

CRD#: 134600

CARLSBAD, CA

Past

September 18, 2014 - October 13, 2016

MARINER WEALTH

RIA

CRD#: 140195

SAN DIEGO, CA

Past

March 17, 2014 - August 11, 2014

BETA WEALTH GROUP, INC

RIA

CRD#: 165224

SAN DIEGO, CA

Past

July 1, 2004 - November 3, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SAN DIEGO, CA

Past

June 21, 2004 - February 21, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEWPORT BEACH, CA

Past

May 15, 2001 - May 21, 2004

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

POWAY, CA

Past

May 2, 2001 - May 21, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

September 8, 1998 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

April 15, 1996 - September 15, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 30, 1993 - January 26, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 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
(10/21/2016)

IAR

Texas
(2/29/2024)

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

IAR

Series 65

Date: 10/17/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/3/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/12/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	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.

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James B. Olmore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James B Olmore's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARINER WEALTH

BETA WEALTH GROUP, INC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/1996

Series 63

Date: 9/23/1993

Series 31

Date: 5/3/1996

Series 7

Date: 4/12/1996

Series 6

Date: 8/27/1993

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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