James A. Pavlik

ICON WEALTH PARTNERS

Houston, TX 77056

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CRD#: 4279213

Professional summary

James Alan Pavlik, who also goes by James Pavlik, is a registered financial advisor currently at ICON WEALTH PARTNERS located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 22 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Pavlik

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) James Pavlik is dually-registered with Icon Wealth Partners, LLC and Purshe Kaplan Sterling Investments, Inc. ("PKS"). James Pavlik has served as an investment advisor representative for Icon Wealth Partners, LLC and a registered representative with PKS since 06/2020. Business is conducted from Houston, TX. Approximately 90% of James Pavlik's time is for services as an investment advisor representative and the balance as a registered representative.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Pavlik'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®

None

Experience

Current

August 1, 2022 - Present

ICON WEALTH PARTNERS

Office #1: 1980 Post Oak Boulevard Suite 1300, Houston, TX 77056

RIA

CRD#: 319609

Houston, TX

Past

September 10, 2020 - December 31, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Houston, TX

Past

June 19, 2020 - August 1, 2022

ICON WEALTH PARTNERS, LLC

RIA

CRD#: 283098

HOUSTON, TX

Past

January 14, 2013 - June 23, 2020

AVALON WEALTH MANAGEMENT LLC

CRD#: 162745

HOUSTON, TX

Past

April 10, 2006 - June 23, 2020

AVALON INVESTMENT & ADVISORY

RIA

CRD#: 112556

HOUSTON, TX

Past

November 16, 2000 - June 10, 2002

ACQUEST SECURITIES LLC

CRD#: 29047

HOUSTON, 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".

ICON WEALTH PARTNERS

ICON WEALTH ADVISORS, LLC | ICON WEALTH PARTNERS

CRD#: 319609 / SEC#: 801-125893

RIA

Registered Investment Advisory firm - (6/21/2022 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

Texas
(8/1/2022)

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

Series 63

Date: 5/1/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/7/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/18/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 5/23/2012

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 7

Date: 11/15/2000

General Securities Representative Examination

Current Firm

ICON WEALTH PARTNERS

ICON WEALTH ADVISORS, LLC | ICON WEALTH PARTNERS

CRD#: 319609 / SEC#: 801-125893

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

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Contact information

Main Address

1980 Post Oak Boulevard Suite 1300, Houston, TX 77056

Mailing Address

1980 Post Oak Boulevard Suite 1300, Houston, TX 77056

Phone number

(713) 904-5020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ICON WEALTH ADVISORS, LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	4,238
AUM (Assets Under Management)	$ 2,254,300,468

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 A. Pavlik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Pavlik's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

ICON WEALTH PARTNERS, LLC

AVALON WEALTH MANAGEMENT LLC

AVALON INVESTMENT & ADVISORY

ACQUEST SECURITIES LLC

Primary Firm SEC Registration

ICON WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 5/1/2012

Series 65

Date: 4/7/2006

Series 7TO

Date: 5/18/2021

SIE

Date: 10/1/2018

Series 22

Date: 5/23/2012

Series 7

Date: 11/15/2000

Current Firm

ICON WEALTH PARTNERS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ICON WEALTH PARTNERS

TRUST BUT VERIFY

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