James P. Estes

DESERT WEALTH MANAGEMENT LLC

Palm Desert, CA

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CRD#: 2484236

Professional summary

James Paul Estes, CFP® is a registered financial advisor currently at DESERT WEALTH MANAGEMENT LLC located in Palm Desert, 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, Series 53 and Series 24 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.

MR. ESTES IS AN ARBITRATOR FOR FINRA, IN WHICH HE HEARS AND DECIDES ON DISPUTES REGARDING SECURITIES MATTERS IN THE SOUTHERN CALIFORNIA AREA. THIS OUTSIDE ACTIVITY TAKES APPROXIMATELY 5% OF HIS TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Paul Estes'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®

CFP^®

CRD#: 7784

SMITHFIELD, RI

Past

June 26, 1997 - July 21, 2004

ARROWHEAD INVESTMENT CENTER, LLC

CRD#: 41435

SAN BERNARDINO, CA

Past

July 6, 1994 - February 28, 1996

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

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
(5/22/2018)

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: 2/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/3/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/7/1994

General Securities Principal Examination

Current Firm

DESERT WEALTH MANAGEMENT LLC

CRD#: 295558 / SEC#:

California

Registered Investment Advisory firm - (5/22/2018 Approved)

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Contact information

Main Address

Palm Desert, CA

Mailing Address

Phone number

(951) 312-2611

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 44,135,842

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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Firm Stability Insights

James P. Estes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Paul Estes's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA WEALTH MANAGEMENT, LLC

WEDBUSH SECURITIES INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

ARROWHEAD INVESTMENT CENTER, LLC

CUNA BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/1998

Series 63

Date: 7/8/1994

Series 7

Date: 7/1/1994

Series 53

Date: 10/3/2001

Series 24

Date: 7/7/1994

Current Firm

DESERT WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DESERT WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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