James G. Haley

DIVIDEND ASSETS CAPITAL

RIDGELAND, SC 29936

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CRD#: 2905149

Professional summary

James Glenn Haley, CFP® is a registered financial advisor currently at DIVIDEND ASSETS CAPITAL, LLC located in Ridgeland, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

POSITION: PRESIDENT NATURE: LLC TO HOLD RENTAL PROPERTY INVESTMENT RELATED: YES NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 0 START DATE: 11/01/2008 ADDRESS: , CHATTANOOGA TN DESCRIPTION: PRESIDENT OF J&A HOLDINGS, LLC FOR RENTAL PROPERTY POSITION: OWNER NATURE: RENTAL PROPERTY INVESTMENT RELATED: NO NUMBER OF HOURS: 3 INVESTMENT RELATED HOURS: 0 START DATE: 02/10/2014 ADDRESS: , NASHVILLE TN DESCRIPTION: OWNER OF RENTAL PROPERTY.�

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Glenn Haley'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: 2014

Experience

Current

April 7, 2017 - Present

DIVIDEND ASSETS CAPITAL, LLC

Office #1: 58 Riverwalk Blvd. Building 2, Suite A, Ridgeland, SC 29936

RIA

CRD#: 129973

RIDGELAND, SC

Past

September 12, 2016 - March 1, 2017

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CHATTANOOGA, TN

Past

January 31, 2014 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

CHATTANOOGA, TN

Past

December 16, 2013 - March 1, 2017

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHATTANOOGA, TN

Past

September 7, 2010 - April 4, 2011

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

BRENTWOOD, TN

Past

August 23, 2010 - April 4, 2011

ONEAMERICA SECURITIES, INC.

CRD#: 4173

BRENTWOOD, TN

Past

June 3, 2009 - February 11, 2010

CAP PARTNERS, LLC

RIA

CRD#: 144779

BRENTWOOD, TN

Past

June 2, 2009 - March 31, 2010

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

March 27, 2007 - March 6, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NASHVILLE, TN

Past

March 27, 2007 - March 6, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NASHVILLE, TN

Past

March 28, 2005 - March 15, 2007

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

KNOXVILLE, TN

Past

January 25, 2005 - March 15, 2007

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

KNOXVILLE, TN

Past

November 19, 2003 - December 17, 2004

WILMINGTON BROKERAGE SERVICES COMPANY

CRD#: 14942

WILMINGTON, DE

Past

March 26, 2002 - August 1, 2002

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

CHAPEL HILL, NC

Past

November 19, 2001 - August 1, 2002

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 23, 2001 - June 7, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

September 3, 1999 - December 22, 2000

TOWNSEND FINANCIAL SERVICES CORP.

CRD#: 24684

RALEIGH, NC

Past

August 14, 1998 - May 3, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 4, 1997 - August 20, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

DIVIDEND ASSETS CAPITAL, LLC

DIVIDEND ASSETS CAPITAL, LLC | DIVIDEND GROWTH ADVISORS, LLC | DIVIDEND GROWTH ADVISORS

CRD#: 129973 / SEC#: 801-62643

RIA

Registered Investment Advisory firm - (1/2/2004 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

South Carolina
(4/7/2017)

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 66

Date: 1/30/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/2013

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 8/20/1997

Futures Managed Funds Examination

Current Firm

DIVIDEND ASSETS CAPITAL, LLC

DIVIDEND ASSETS CAPITAL, LLC | DIVIDEND GROWTH ADVISORS, LLC | DIVIDEND GROWTH ADVISORS

CRD#: 129973 / SEC#: 801-62643

RIA

Registered Investment Advisory firm - (1/2/2004 Approved)

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Contact information

Main Address

58 Riverwalk Blvd., Ridgeland, SC 29936-8126

Mailing Address

Phone number

(843) 645-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAC ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	739
AUM (Assets Under Management)	$ 620,050,580

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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Advisor Monitoring

Firm Stability Insights

James G. Haley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Glenn Haley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CAP PARTNERS, LLC

APW CAPITAL, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

WILMINGTON BROKERAGE SERVICES COMPANY

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

NEW ENGLAND SECURITIES

TOWNSEND FINANCIAL SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

DIVIDEND ASSETS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2014

Series 65

Date: 8/14/1997

Series 63

Date: 8/8/1997

SIE

Date: 3/1/2017

Series 7

Date: 12/16/2013

Series 31

Date: 8/20/1997

Current Firm

DIVIDEND ASSETS CAPITAL, LLC

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIVIDEND ASSETS CAPITAL, LLC

TRUST BUT VERIFY

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