JS
James M. Sizemore
ULRICH INVESTMENT CONSULTANTS
Newberg, OR
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CRD#: 2658555
JS
Professional summary
James Michael Sizemore, who also goes by James Micheal Sizemore, is a registered financial advisor currently at ULRICH INVESTMENT CONSULTANTS located in Newberg, Oregon.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 2 firms and has passed the Series 65 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Micheal Sizemore
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. Sizemore is the CFO and shareholder of Strategic Wealth Management, Inc.(SWM). SWM has deregistered and has ceased client related business to resolve any conflict of interest. In addition, Mr. Sizemore does not receive any compensation for his SWM CFO role. James M. Sizemore does not receive any economic benefit for providing advisory services beyond the scope of Ulrich Investment Consultants.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Sizemore'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®
NoneExperience
Current
April 28, 2022 - Present
ULRICH INVESTMENT CONSULTANTS
RIA
CRD#: 159499
Newberg, OR
Past
October 19, 1998 - March 31, 2022
STRATEGIC WEALTH MANAGEMENT INC
RIA
CRD#: 107180
KIRKLAND, WA
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".
UI
ULRICH INVESTMENT CONSULTANTS
ESTATE STRATEGIES | ULRICH OF TEXAS CONSULTING GROUP, LLC | ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC D/B/A/ ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC | ULRICH CONSULTING AND INVESTMENT GROUP, LLC | ESTATE STRATEGIES, INC.
CRD#: 159499 / SEC#: 801-72880
RIA
Registered Investment Advisory firm - (12/2/2011 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
Oregon(4/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
UI
ULRICH INVESTMENT CONSULTANTS
ESTATE STRATEGIES | ULRICH OF TEXAS CONSULTING GROUP, LLC | ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC D/B/A/ ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC | ULRICH CONSULTING AND INVESTMENT GROUP, LLC | ESTATE STRATEGIES, INC.
CRD#: 159499 / SEC#: 801-72880
RIA
Registered Investment Advisory firm - (12/2/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1805 Rio Grande Boulevard Nw Suite 1, Albuquerque, NM 87104
Mailing Address
Phone number
(505) 224-9100
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,002 |
| AUM (Assets Under Management) | $ 3,196,950,001 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/13/2024 | ||
| 05/01/2023 | ||
| 11/08/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
