James D. Ashby
MUSTARD SEED WEALTH MANAGEMENT
MONROE, LA 71201
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CRD#: 3187944
Professional summary
James David Ashby, CFP®, who also goes by J Ashby, is a registered financial advisor currently at MUSTARD SEED WEALTH MANAGEMENT located in Monroe, Louisiana.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 1 firm and has passed the Series 65 exam.
Biography
Dr. David Ashby worked as an accountant and even taught accounting classes before becoming a professor at SAU. His accumulated degrees took him to Ole Miss and eventually LA Tech, where he earned his doctorate. He later became a Certified Financial Planner professional and launched the first financial planning curriculum in AR at SAU. After teaching finance for many years, he co-founded Mustard Seed Wealth Management alongside former student Darla Williams in 2002. Now with nine employees and three locations, David is the Sr Advisor & Partner at our Magnolia Branch. David has built a team of advisors as passionate and dedicated as he is about guiding clients not only to retirement but through it. Though retired from SAU as a professor, David continues to teach at continuing education seminars and writes for several publications. David has always been fascinated with people’s financial behaviors and enjoys seeing people exceed their goals. David continues to serve on area boards and committees while spending many volunteer hours working in the community. David works in the Magnolia office and his home Hot Springs..
Question & Answer
What are your service offerings?
Retirement Planning
Tax Planning
Estate Planning
Investment Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Do you have an area of expertise or specialization?
Business Owners
Charitable Giving
Estate & Generational Planning...
Investment Advice with Ongoing...
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
J Ashby
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.
CRS (Client Relationship Summary) - RIA
Click below to view James David Ashby'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: 1997
Experience
Current
February 28, 2003 - Present
MUSTARD SEED WEALTH MANAGEMENT
Office #1: 1908 Roselawn Ave., Monroe, LA 71201Office #2: 202 South Pine, Suite 102, Magnolia, AR 71754Office #3: 108 East 19th, Hope, AR 71801Office #4: 5329 Summerhill Rd., Texarkana, TX 75503RIA
CRD#: 117737
MONROE, LA
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".
MUSTARD SEED WEALTH MANAGEMENT
ASHBY, JAMES DAVID | MUSTARD SEED WEALTH MANAGEMENT | MUSTARD SEED FINANCIAL, LLC
CRD#: 117737 / SEC#: 801-66155
RIA
Registered Investment Advisory firm - (5/2/2006 Approved)Arkansas
Registered Investment Advisory firm - (5/3/2006 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.Highlighted states indicate IAR registrations
IAR
Arkansas(2/28/2003)
IAR
Louisiana(12/13/2012)
IAR
Texas(9/28/2006)
Current Firm
MUSTARD SEED WEALTH MANAGEMENT
ASHBY, JAMES DAVID | MUSTARD SEED WEALTH MANAGEMENT | MUSTARD SEED FINANCIAL, LLC
CRD#: 117737 / SEC#: 801-66155
RIA
Registered Investment Advisory firm - (5/2/2006 Approved)Arkansas
Registered Investment Advisory firm - (5/3/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
202 S. Pine, Magnolia, AR 71753
Mailing Address
Phone number
(870) 234-1618
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,619 |
| AUM (Assets Under Management) | $ 413,567,032 |
Red Flags
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Company Information
MUSTARD SEED WEALTH MANAGEMENT
CRD#: 117737Monroe, LA 71201TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
