JE
James W. Exley
WEALTH SCIENCE ADVISORS LLC
ROSWELL, GA
Some features on this profile are disabled
CRD#: 2766625
JE
Professional summary
James William Exley IV, CFP®, ChFC®, CLU®, who also goes by James William IV Exley, Jim Exley, is a registered financial advisor currently at WEALTH SCIENCE ADVISORS LLC located in Roswell, Georgia.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James William Iv Exley | Jim Exley
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.
1) WEALTH SCIENCE ANALYTICS; NOT INVESTMENT-RELATED; 55 ROSWELL STREET, STE 210, ALPHARETTA, GA 30009; PSYCHOLOGICAL ANALYTICS AND CONSULTING; WEALTH SCIENTIST; STARTED 1/2023; APPROXIMATELY 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS; RESEARCH, COACHING, AND TRAINING. 2) BULL GATA LLC; NOT INVESTMENT-RELATED; 55 ROSWELL ST STE 210, ALPHARETTA GA 30009; CONSUMER PRODUCTS; 100% OWNER; START DATE: 07/27/2016, APPROXIMATELY 0-5 HOURS PER MONTH, 0-5 HOURS DURING SECURITIES TRADING HOURS; OWNER/DESIGNER ALLIGATOR WALLETS/BELTS. 3) ENIGMAX LLC; NOT INVESTMENT RELATED; 230 HARDSCRABBLE RD, ROSWELL, GEORGIA 30075; 100% OWNER; START DATE: 08/26/2020; APPROXIMATELY 21-40 HOURS PER MONTH, 6-20 HOURS DURING SECURITIES TRADING HOURS; PHD RESEARCH AND INTELLECTUAL PROPERTY. 4) PROFESSOR OCEAN NATIONWIDE LLC; NOT INVESTMENT-RELATED; 443 CYPRESS DR, SANTA ROSA BEACH, FLORIDA 32459; 34% OWNER; START DATE: 1/24/2022; APPROXIMATELY 0-5 HOURS PER MONTH, 0-5 HOURS DURING SECURITIES TRADING HOURS; BOOK CO AUTHOR. 5) WEALTH SCIENCE FAMILY OFFICE LLC; NOT INVESTMENT-RELATED; 55 ROSWELL ST STE 210, ALPHARETTA, GA 30009; 100% OWNER; STARTED: 08/26/2022; 10 HOURS PER MONTH, ALL DURING SECURITIES TRADING HOURS; STRATEGIC CONSULTING AND ADMINISTRATIVE SUPPORT SERVICES TO ENTITIES AND HIGH NET WORTH FAMILIES. 6) WEALTH SCIENCE TAX LLC; NOT INVESTMENT-RELATED; 443 CYPRESS DRIVE, SANTA ROSA BEACH, FL, 32459; 100% OWNER; STARTED: 07/14/2025; 10-20 HOURS PER MONTH, ALL DURING SECURITIES TRADING HOURS; ASSISTS CLIENTS WITH TAX PLANNING, TAX PROJECTIONS, AND FILING TAX RETURNS.
CRS (Client Relationship Summary) - RIA
Click below to view James William Exley IV'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®
Start date: 2001
Experience
Current
August 17, 2022 - Present
WEALTH SCIENCE ADVISORS LLC
Office #3: 55 Roswell Street Suite 210, Alpharetta, GA 30009RIA
CRD#: 321031
ROSWELL, GA
Past
February 16, 2007 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
RIA
CRD#: 109729
MILWAUKEE, WI
Past
April 6, 2005 - February 15, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Alpharetta, GA
Past
October 28, 1996 - June 3, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Alpharetta, GA
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".
WS
WEALTH SCIENCE ADVISORS LLC
WEALTH SCIENCE ADVISORS LLC
CRD#: 321031 / SEC#: 801-124998
RIA
Registered Investment Advisory firm - (5/12/2022 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
Florida(5/18/2024)
IAR
Georgia(8/17/2022)
IAR
Texas(12/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WS
WEALTH SCIENCE ADVISORS LLC
WEALTH SCIENCE ADVISORS LLC
CRD#: 321031 / SEC#: 801-124998
RIA
Registered Investment Advisory firm - (5/12/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 Roswell Street Suite 210, Alpharetta, GA 30009
Mailing Address
Phone number
(678) 480-2681
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 973 |
| AUM (Assets Under Management) | $ 512,509,148 |
Red Flags
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