James M. Graham
CLARUS WEALTH ADVISORS
Peoria, AZ 85381
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CRD#: 2771048
Professional summary
James Michael Graham, CFP®, who also goes by Jim Michael Graham, is a registered financial advisor currently at CLARUS WEALTH ADVISORS, LLC located in Peoria, Arizona and PRIVATE CLIENT SERVICES, LLC located in Peoria, Arizona.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Two of my greatest passions in life are educating others and hiking. While those two passions may seem unrelated, they are actually closely entwined. Every day my team and I educate clients on how they can improve their financial well-being. Sometimes it’s in a teacher – student format, but more often it is as a guide.
As a client, here is what you can expect from us as you begin your journey:
First, we learn about your financial and lifestyle goals. I learn about your path so far, and where you see yourself at the end of your journey.
Next, my team and I create a strategy for you to accomplish your goals.
After that, we review the strategy with you. I explain the pros and cons of that particular course, describe the alternative choices and map out the financial journey I propose we take together.
Finally, once the decision is made and agreed to, we implement our strategy, keeping you informed along the way.
When leading your financial hike, it is important to me that you are comfortable with the course of action. If not, we can take you on a different, more suitable route.
Question & Answer
What are your service offerings?
Investment Planning
Insurance Planning
Retirement Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Personal quote
Our mission is to partner with our clients in their financial interests. We give each client detailed attention in order to create a personalized strategy that works towards meeting their goals for today, tomorrow and beyond.
Aliases
Jim Michael Graham
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) Author. 9125 W Thunderbird Road, Suite 100, Peoria, AZ 85381. Occasional speaking event. 0 hrs/mo. 2) Orange Rock Wealth Management, LLC. 9125 W Thunderbird Road, Suite 100, Peoria, AZ 85381. DBA. 0 hrs/mo. 3) Clarus Wealth Advisors. 9125 W Thunderbird Road, Suite 100, Peoria, AZ 85381. RIA. 40 hrs/mo; 40 during trading hrs. 4) Various insurance companies including IMO's,-FIG, The Pinnacle Group, Ash Brokerage & Ward T Bell & Assoc. Insurance-Life, LTCI, LTDI, Annuities. Agent. 0 hrs/mo.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Graham'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: 2003
Experience
Current
August 15, 2017 - Present
CLARUS WEALTH ADVISORS, LLC
Office #1: 9125 W. Thunderbird Road, Suite 100, Peoria, AZ 85381Office #2: 1490 S Price Road Suite 113, Chandler, AZ 85286RIA
CRD#: 281160
Peoria, AZ
Current
October 31, 2023 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 9125 W Thunderbird Rd, Ste 100, Peoria, AZ 85381RIA
BD
CRD#: 120222
Peoria, AZ
Past
August 29, 2017 - November 7, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
Peoria, AZ
Past
December 22, 2009 - August 30, 2017
WFG ADVISORS, LP
RIA
CRD#: 125073
CHANDLER, AZ
Past
December 17, 2009 - August 30, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
CHANDLER, AZ
Past
April 29, 2003 - January 8, 2010
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
PHOENIX, AZ
Past
February 24, 1999 - January 8, 2010
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
PHOENIX, AZ
Past
July 26, 1996 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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".
CW
CLARUS WEALTH ADVISORS, LLC
CLARUS WEALTH ADVISORS, LLC | SUMMIT WEALTH ADVISORS, LLC | PLUM CREEK PLANNING | ORANGE ROCK WEALTH MANAGEMENT | HERITAGE RETIREMENT SOLUTIONS | HERITAGE CAPITAL | FORM PROSPERITY | CLARUS WEALTH AT PLUM CREEK
CRD#: 281160 / SEC#: 801-110156
RIA
Registered Investment Advisory firm - (3/20/2017 Approved)Arizona
Registered Investment Advisory firm - (3/23/2017 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Arizona(8/15/2017)
RR
Arizona(10/31/2023)
RR
California(10/31/2023)
RR
Connecticut(10/31/2023)
RR
Nebraska(10/31/2023)
RR
Wisconsin(10/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CLARUS WEALTH ADVISORS, LLC
CLARUS WEALTH ADVISORS, LLC | SUMMIT WEALTH ADVISORS, LLC | PLUM CREEK PLANNING | ORANGE ROCK WEALTH MANAGEMENT | HERITAGE RETIREMENT SOLUTIONS | HERITAGE CAPITAL | FORM PROSPERITY | CLARUS WEALTH AT PLUM CREEK
CRD#: 281160 / SEC#: 801-110156
RIA
Registered Investment Advisory firm - (3/20/2017 Approved)Arizona
Registered Investment Advisory firm - (3/23/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9125 W. Thunderbird Road, Suite 100, Peoria, AZ 85381
Mailing Address
Phone number
(623) 583-6840
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 918 |
| AUM (Assets Under Management) | $ 256,942,795 |
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.
