James E. Pickett

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CRD#: 2666576

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 Everett Pickett, CFP®, who also goes by James Pickett, Jep Pickett, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2000. James had worked at 3 firms and has passed the Series 65 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Pickett | Jep Pickett

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.

BUSINESS NAME: Provident Financial Consulting INVESTMENT RELATED: NO ADDRESS: 20201 SW Birch, Ste 275, Newport Beach, CA 92660 TYPE OF BUSINESS: CPA FIRM TITLE: CPA START DATE: June 2015 A SUBSTANTIAL MAJORITY OF MR. PICKETT'S BUSINESS TIME IS DEVOTED TO THE ACCOUNTING PRACTICE DURING SECURITIES TRADING HOURS. DUTIES: OWNER OF ACCOUNTING FIRM, PROVIDER OF ACCOUNTING SERVICES BUSINESS NAME: Financial Advocates LLC INVESTMENT RELATED: YES ADDRESS: 20201 SW Birch, Ste 275, Newport Beach, CA 92660 TYPE OF BUSINESS: RIA FIRM TITLE: OWNER START DATE: Jan 2004 MR PICKETT WILL BE DUAL REGISTERED WITH BOTH RIAS FOR A SHORT TIME BUSINESS NAME: Southern California Labrador Retriever Rescue, Inc INVESTMENT RELATED: NO ADDRESS: 24325 Crenshaw Blvd #137, Torrance, CA 90505 TYPE OF BUSINESS: Non-Profit TITLE: Board member/Treasurer START DATE: Feb 1998 MR PICKETT IS ON THE BOARD OF SCLRR, SPENDING ABOUT 2 HOURS PER WEEK ASSISTING THE FIRM WITH ACCOUNTING

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

Experience

Past

June 10, 2017 - December 31, 2024

ARES FINANCIAL CONSULTING LLC

RIA

CRD#: 282852

Newport Beach, CA

Past

May 27, 2004 - December 20, 2018

FINANCIAL ADVOCATES LLC

RIA

CRD#: 130793

COSTA MESA, CA

Past

February 8, 2000 - January 14, 2003

KPMG INVESTMENT ADVISORS

RIA

CRD#: 111778

COSTA MESA, CA

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".

ARES FINANCIAL CONSULTING LLC

CRD#: 282852 / SEC#: 801-121211

RIA

Registered Investment Advisory firm - (5/14/2021 Approved)

California

Registered Investment Advisory firm - (6/13/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (5/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2021 Terminated)

Washington

Registered Investment Advisory firm - (6/14/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/14/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 9/20/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 9/19/1995

Non-Member General Securities Examination

Current Firm

ARES FINANCIAL CONSULTING LLC

CRD#: 282852 / SEC#: 801-121211

RIA

Registered Investment Advisory firm - (5/14/2021 Approved)

California

Registered Investment Advisory firm - (6/13/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (5/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2021 Terminated)

Washington

Registered Investment Advisory firm - (6/14/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/14/2021 Terminated)

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Contact information

Main Address

4500 Park Granada Suite 202, Calabasas, CA 91302

Mailing Address

Phone number

(818) 986-1479

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ARES FINANCIAL CONSULTING FORM ADV PART 2 DISCLOSURE BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	780
AUM (Assets Under Management)	$ 193,324,292

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 E. Pickett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARES FINANCIAL CONSULTING LLC

FINANCIAL ADVOCATES LLC

KPMG INVESTMENT ADVISORS

Primary Firm SEC Registration

ARES FINANCIAL CONSULTING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/1995

Series 2

Date: 9/19/1995

Current Firm

ARES FINANCIAL CONSULTING LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARES FINANCIAL CONSULTING LLC

TRUST BUT VERIFY

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