James Waters Matheney Sr
Professional Summary
James Waters Matheney SR, who also goes by James Waters Matheney, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1959 - 2017. James had worked at 10 firms and has passed the Series 66, Series 63, Series 5, PC, Series 1 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Waters Matheney
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
68 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
PER STIRLING | PER STIRLING PRIVATE WEALTH | PER STIRLING INVESTMENTS | PER STIRLING GROUP, LLC | PER STIRLING CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
4800 Bee Caves Road, Austin, TX 78746Phone Number
(512) 628-2300# of Employees
30SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,766AUM (Assets Under Management)
$1,566,020,358Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PER STIRLING | PER STIRLING PRIVATE WEALTH | PER STIRLING INVESTMENTS | PER STIRLING GROUP, LLC | PER STIRLING CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Jan 1958Series 12 — NYSE Branch Manager Examination
Passed Jan 1959Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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