James C. Audley

ARGENT WEALTH ADVISORS

LAFAYETTE, CA

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CRD#: 2427000

Professional summary

James C Audley, who also goes by James Christopher Audley, is a registered financial advisor currently at ARGENT WEALTH ADVISORS, LLC located in Lafayette, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Christopher Audley

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 C Audley'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

September 22, 2014 - Present

ARGENT WEALTH ADVISORS, LLC

RIA

CRD#: 172856

LAFAYETTE, CA

Past

June 2, 2010 - September 26, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

Walnut Creek, CA

Past

June 2, 2010 - September 26, 2014

FINANCIAL TELESIS INC

CRD#: 31012

Walnut Creek, CA

Past

August 9, 2004 - June 7, 2010

SHELTON CAPITAL MANAGEMENT

RIA

CRD#: 104720

SAN FRANCISCO, CA

Past

October 23, 2001 - June 7, 2010

RFS PARTNERS

CRD#: 18119

SAN FRANCISCO, CA

Past

October 30, 1997 - September 7, 2001

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

January 11, 1996 - April 30, 1997

FOOTHILL SECURITIES, INC.

CRD#: 1027

SANTA CLARA, CA

Past

January 6, 1994 - January 10, 1996

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

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
(9/22/2014)

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: 12/31/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/29/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARGENT WEALTH ADVISORS, LLC

ARGENT WEALTH ADVISORS, LLC | AUDLEY, JAMES C

CRD#: 172856 / SEC#:

California

Registered Investment Advisory firm - (9/22/2014 Approved)

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Contact information

Main Address

21 Lafayette Circle 220, Lafayette, CA 94549

Mailing Address

Phone number

(925) 282-1740

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	100
AUM (Assets Under Management)	$ 37,914,046

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James C. Audley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Audley's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

SHELTON CAPITAL MANAGEMENT

RFS PARTNERS

CNR SECURITIES, LLC

FOOTHILL SECURITIES, INC.

SENTRA SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1997

Series 63

Date: 1/5/1994

Series 7

Date: 10/29/1997

Series 6

Date: 1/5/1994

Current Firm

ARGENT WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARGENT WEALTH ADVISORS, LLC

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