JB
James W. Balthaser
PSI CAPITAL MANAGEMENT
HANOVER, PA 17331
Some features on this profile are disabled
CRD#: 4088364
JB
Professional summary
James Wesley Balthaser is a registered financial advisor currently at PSI CAPITAL MANAGEMENT located in Hanover, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 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.
RLH CPA's & Business Advisors, LLC (formerly Rager, Lehman & Houck, P.C.) Non-investment related. Hanover, PA. Member, Treasurer, CPA. 2001-Present.
RLH Hanover Real Estate, LLC, 195 Stock Street, Suite 311, Hanover, PA 17331: Member/Treasurer; 16.67% ownership; Owner-Occupied investment real estate; Started 12/07/2005; 2-3 hours/month; Management/Treasurer duties.
RLH Westminster Real Estate, LLC, 205 E. Main Street, Westminster, MD 21157: Member/Treasurer; 16.67% ownership; Owner-Occupied investment real estate; Started 12/20/2005; 2-3 hours/month; Management/Treasurer duties.
RLH EPBCA Real Estate, LLC, 195 Stock Street, Suite 311, Hanover, PA 17331: Member/Treasurer; 33.33%; investment real estate; Started 12/07/2005; 1-2 hours/month; Management/Treasurer duties.
RLH Holdings, LLC, 195 Stock Street, Suite 311, Hanover, PA 17331: Member/Treasurer; 16.67% ownership; Holds life insurance policies for CPA firm & real estate partnership buy-outs and collects referral fees from affiliation with Pilot Capital Management, Inc. and successor firm , PSI Capital Management ; Started 01/01/2003; 1-2 hours/month; Management/Treasurer duties.
RLH PC Liquidation Trust, 195 Stock Street, Suite 311, Hanover, PA 17331: Member/Treasurer; 20.0% beneficiary; Collection of old accounts receivable from former CPA firm; Started 5/31/2016; 1-2 hours/month; Management duties.
CRS (Client Relationship Summary) - RIA
Click below to view James Wesley Balthaser'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 10, 2018 - Present
PSI CAPITAL MANAGEMENT
Office #1: 195 Stock Street Suite 124, Hanover, PA 17331RIA
CRD#: 117105
HANOVER, PA
Past
September 18, 2009 - June 1, 2018
PILOT CAPITAL MANAGEMENT, INC.
RIA
CRD#: 123088
HANOVER, PA
Past
July 17, 2001 - February 28, 2014
MAIN STREET ADVISORS, LLC
RIA
CRD#: 121797
WESTMINSTER, MD
Past
January 17, 2000 - June 18, 2001
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, 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".
PC
PSI CAPITAL MANAGEMENT
PLANNING STRATEGIES, INC. | PSI CAPITAL MANAGEMENT
CRD#: 117105 / SEC#: 801-112684
RIA
Registered Investment Advisory firm - (3/23/2018 Approved)Florida
Registered Investment Advisory firm - (3/28/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/29/2018 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
Pennsylvania(5/10/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
PC
PSI CAPITAL MANAGEMENT
PLANNING STRATEGIES, INC. | PSI CAPITAL MANAGEMENT
CRD#: 117105 / SEC#: 801-112684
RIA
Registered Investment Advisory firm - (3/23/2018 Approved)Florida
Registered Investment Advisory firm - (3/28/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/29/2018 Terminated)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
147 North Shippen Street, Lancaster, PA 17602
Mailing Address
Phone number
(717) 207-7123
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,344 |
| AUM (Assets Under Management) | $ 348,126,021 |
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.
