JW
James A. Worden
STRAIGHTWAY FINANCIAL LLC
Folsom, CA 95630
Some features on this profile are disabled
CRD#: 3203089
JW
Professional summary
James Arthur Worden is a registered financial advisor currently at STRAIGHTWAY FINANCIAL LLC located in Folsom, California and THE WEALTH CONSULTING GROUP located in Folsom, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. James has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1. 08/18/2021 - WCG Wealth Advisors, LLC - DBA: The Wealth Consulting Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 08/18/2021 - 160 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through WCG WEALTH ADVISORS, LLC, an independent investment advisor firm. I started this business activity in DATE-08/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD.
CRS (Client Relationship Summary) - RIA
Click below to view James Arthur Worden'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®
NoneExperience
Current
May 26, 2020 - Present
STRAIGHTWAY FINANCIAL LLC
Office #1: 165 John Henry Circle, Folsom, CA 95630RIA
CRD#: 309029
Folsom, CA
Current
August 18, 2021 - Present
THE WEALTH CONSULTING GROUP
RIA
CRD#: 173194
Folsom, CA
Past
July 16, 2019 - February 10, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
SACRAMENTO, CA
Past
July 13, 2019 - February 10, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SACRAMENTO, CA
Past
January 16, 2015 - July 15, 2019
AW SECURITIES
RIA
CRD#: 103747
FOLSOM, CA
Past
July 11, 2012 - January 9, 2014
PATHWAY STRATEGIC ADVISORS
RIA
CRD#: 158395
FOLSOM, CA
Past
July 11, 2012 - July 15, 2019
AW SECURITIES
BD
CRD#: 103747
FOLSOM, CA
Past
January 27, 2009 - May 21, 2012
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
FOLSOM, CA
Past
January 27, 2009 - July 6, 2010
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
January 23, 2009 - January 26, 2009
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LAVISTA, NE
Past
January 23, 2009 - May 1, 2012
SECURITIES AMERICA, INC.
BD
CRD#: 10205
FOLSOM, CA
Past
October 23, 2002 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
FOLSOM, CA
Past
January 16, 2002 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
CINCINNATI, OH
Past
January 26, 2000 - January 4, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
July 9, 1999 - January 10, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, 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".
TW
THE WEALTH CONSULTING GROUP
ABOUND FINANCIAL | YERBA BUENA FINANCIAL PARTNERS | WILBORN ADVISORS | WCG WEALTH ADVISORS, LLC | WCG WEALTH ADVISORS | V WEALTH MANAGEMENT | V WEALTH | UTOR WEALTH | TRULY ALIGNED INC. | TRELOAR & HEISEL WEALTH MANAGEMENT | THE WEALTH CONSULTING GROUP | SUNDANCE INVESTMENTS LLC | STRONGHAVEN LLC | STONEBRIDGE GLOBAL INVESTMENTS | SPECTRUM WEALTH MANAGEMENT, INC. | REINERT WEALTH MANAGEMENT | REDWITZ WEALTH MANAGEMENT | RDM ASSOCIATES | PROSPERITY WEALTH PARTNERS, LLC | PAVLOVIC WEALTH MANAGEMENT | PASCHANG & ASSOCIATES | PALO VERDE WEALTH MANAGEMENT, LLC | NICHOLS WEALTH MANAGEMENT | NAVIGUIDE WEALTH PARTNERS | MTXE CAPITAL | MTXE ANALYTICS | METCALF PARTNERS WEALTH MANAGEMENT | MARKET CYCLE FINANCIAL | LUCAS WEALTH STRATEGIES | KONZA WEALTH ADVISORS | KC WEALTH ADVISOR, LLC | KAWABE & ASSOCIATES | KANSAS CITY RETIREMENT PLANNING, LLC | JHM WEALTH MANAGEMENT, INC. | INSTRUMENTAL ADVISORS | IMPACT WEALTH PARTNERS | HASKELL WEALTH MANAGEMENT | GREAT WESTERN WEALTH MANAGEMENT | GEN 4 WEALTH ADVISORS | FRANZ TATUM WEALTH MANAGEMENT | FINANCIAL YOGI | FIDES WEALTH STRATEGIES GROUP | FAMILY WEALTH MANAGEMENT GROUP | ENCORE WEALTH MANAGEMENT | EMBRACE WEALTH MANAGEMENT | EDMOND WEALTH MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT/DE MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT | DE MANAGEMENT | DAROLD MARK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT,LLC | CORNERSTONE FINANCIAL ADVOCATES | CLARIO FINANCIAL SERVICES | CARTER FINANCIAL | BYDAND FINANCIAL, LLC | BRIGHT ADVISORS, LLC | BRIANNE FINANCIAL | BALZER INVESTMENT MANAGEMENT, LLC | BAIR FINANCIAL PLANNING | APC WEALTH MANAGEMENT, INC. | ANCHOR WEALTH MANAGEMENT GROUP, LLC | ALTENBURG ASSET ADVISORS, LLC
CRD#: 173194 / SEC#: 801-80386
RIA
Registered Investment Advisory firm - (10/1/2014 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
California(5/26/2020)
IAR
Nevada(9/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
THE WEALTH CONSULTING GROUP
ABOUND FINANCIAL | YERBA BUENA FINANCIAL PARTNERS | WILBORN ADVISORS | WCG WEALTH ADVISORS, LLC | WCG WEALTH ADVISORS | V WEALTH MANAGEMENT | V WEALTH | UTOR WEALTH | TRULY ALIGNED INC. | TRELOAR & HEISEL WEALTH MANAGEMENT | THE WEALTH CONSULTING GROUP | SUNDANCE INVESTMENTS LLC | STRONGHAVEN LLC | STONEBRIDGE GLOBAL INVESTMENTS | SPECTRUM WEALTH MANAGEMENT, INC. | REINERT WEALTH MANAGEMENT | REDWITZ WEALTH MANAGEMENT | RDM ASSOCIATES | PROSPERITY WEALTH PARTNERS, LLC | PAVLOVIC WEALTH MANAGEMENT | PASCHANG & ASSOCIATES | PALO VERDE WEALTH MANAGEMENT, LLC | NICHOLS WEALTH MANAGEMENT | NAVIGUIDE WEALTH PARTNERS | MTXE CAPITAL | MTXE ANALYTICS | METCALF PARTNERS WEALTH MANAGEMENT | MARKET CYCLE FINANCIAL | LUCAS WEALTH STRATEGIES | KONZA WEALTH ADVISORS | KC WEALTH ADVISOR, LLC | KAWABE & ASSOCIATES | KANSAS CITY RETIREMENT PLANNING, LLC | JHM WEALTH MANAGEMENT, INC. | INSTRUMENTAL ADVISORS | IMPACT WEALTH PARTNERS | HASKELL WEALTH MANAGEMENT | GREAT WESTERN WEALTH MANAGEMENT | GEN 4 WEALTH ADVISORS | FRANZ TATUM WEALTH MANAGEMENT | FINANCIAL YOGI | FIDES WEALTH STRATEGIES GROUP | FAMILY WEALTH MANAGEMENT GROUP | ENCORE WEALTH MANAGEMENT | EMBRACE WEALTH MANAGEMENT | EDMOND WEALTH MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT/DE MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT | DE MANAGEMENT | DAROLD MARK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT,LLC | CORNERSTONE FINANCIAL ADVOCATES | CLARIO FINANCIAL SERVICES | CARTER FINANCIAL | BYDAND FINANCIAL, LLC | BRIGHT ADVISORS, LLC | BRIANNE FINANCIAL | BALZER INVESTMENT MANAGEMENT, LLC | BAIR FINANCIAL PLANNING | APC WEALTH MANAGEMENT, INC. | ANCHOR WEALTH MANAGEMENT GROUP, LLC | ALTENBURG ASSET ADVISORS, LLC
CRD#: 173194 / SEC#: 801-80386
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8925 West Post Road 2nd Floor, Las Vegas, NV 89148
Mailing Address
Phone number
(702) 263-1919
Established
Firm type
Fiscal year end
# of Employees
204
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,129 |
| AUM (Assets Under Management) | $ 5,446,595,206 |
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
THE WEALTH CONSULTING GROUP
CRD#: 173194Folsom, CA 95630TRUST BUT VERIFY
Monitor James Worden
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
