JAMES M. TODD

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CRD#: 2643101

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 MARION TODD, CFP®, who also goes by Jim Todd, was a registered financial professional .

JAMES is a previously registered financial professional and started their career in finance in 1995. JAMES had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Biography

Jim began his wealth management career in 1997 as founder and managing partner at Hegwood & Todd, a small investment and financial planning firm. His areas of expertise include high-net-worth financial planning, trust administration, estate planning, and life insurance strategies. Prior to joining Mercer Advisors, Jim worked as a wealth manager at USAA Financial Services and most recently as a wealth strategist at Kanaly Trust Company. He graduated from the University of Kentucky with a Bachelor of Science degree in Electrical Engineering. Jim is a member of the Financial Planning Association (FPA).

Question & Answer

What are your service offerings?

Budgeting

Investment Planning

Business Succession Planning

Education Planning

Comprehensive Financial Planni...

Insurance Planning

Estate Planning

Retirement Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Aliases

Jim Todd

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)

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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Past

May 11, 2017 - January 13, 2025

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

BOULDER, CO

Past

June 15, 2009 - October 23, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

June 15, 2009 - October 23, 2012

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

April 5, 2007 - April 9, 2009

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

April 4, 2007 - April 9, 2009

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

August 22, 2006 - March 6, 2007

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

GREENVILLE, SC

Past

December 9, 1999 - March 6, 2007

INVESTORS CAPITAL CORP.

CRD#: 30613

GREENVILLE, SC

Past

October 9, 1997 - November 19, 1999

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

June 3, 1997 - October 9, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

August 18, 1995 - June 20, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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".

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 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: 1/25/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 Approved)

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Contact information

Main Address

1200 17th Street Suite 2000, Denver, CO 80202

Mailing Address

Phone number

(888) 885-8101

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERCER GLOBAL ADVISORS INC. ADV PART 2A AUGUST 21 2025 (8/21/2025)

Regulatory assets under management

Total Number of Accounts	99,044
AUM (Assets Under Management)	$ 60,256,270,580

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
07/31/2024	Cover Page	Report
09/28/2023	Cover Page	Report
12/07/2022	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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

JAMES M. TODD

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

SUNPOINT SECURITIES, INC.

WMA SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

MERCER GLOBAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2006

Series 63

Date: 8/17/1995

Series 7

Date: 12/22/1997

Series 6

Date: 8/17/1995

Current Firm

MERCER GLOBAL ADVISORS INC.

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

MERCER GLOBAL ADVISORS INC.

TRUST BUT VERIFY

Contact information

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