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JE

James W. Exley

WEALTH SCIENCE ADVISORS
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Exley IV's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Start date: 2001

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

August 17, 2022 - Present

WEALTH SCIENCE ADVISORS LLC

Office #3: 55 Roswell Street Suite 210, Alpharetta, GA 30009
RIA
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
IAR
Series 65
Date: 7/28/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/5/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/25/1996
Investment Company Products/Variable Contracts Representative Examination

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WEALTH SCIENCE ADVISORS - FORM ADV PART 2A (4/28/2025)

Regulatory assets under management

Total Number of Accounts973
AUM (Assets Under Management)$ 512,509,148

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.

Company Information

WEALTH SCIENCE ADVISORS LLC

CRD#: 321031Roswell, GA

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