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JM

James S. Mooney

AUTUMN LANE ADVISORS
Houston, TX 77063
Some features on this profile are disabled
CRD#: 4319334
JM

Professional summary

James Stanley Mooney is a registered financial advisor currently at AUTUMN LANE ADVISORS, LLC located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 2 firms and has passed the Series 65 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Stanley Mooney'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, 2024 - Present

AUTUMN LANE ADVISORS, LLC

Office #1: 7500 San Felipe Suite 1030, Houston, TX 77063
RIA
CRD#: 173624
Houston, TX
Past

May 22, 2001 - May 21, 2002

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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".
AL
AUTUMN LANE ADVISORS, LLC
AUTUMN LANE ADVISORS, LLC

CRD#: 173624 / SEC#: 801-80627

RIA
Registered Investment Advisory firm - (12/3/2014 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
Texas
(8/1/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2024
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2001
General Securities Representative Examination

Current Firm

AL
AUTUMN LANE ADVISORS, LLC
AUTUMN LANE ADVISORS, LLC

CRD#: 173624 / SEC#: 801-80627

RIA
Registered Investment Advisory firm - (12/3/2014 Approved)
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Contact information

Main Address
7500 San Felipe Suite 1030, Houston, TX 77063
Mailing Address
Phone number
(713) 636-2075
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AUTUMN LANE ADV 2A (2/10/2026)

Regulatory assets under management

Total Number of Accounts926
AUM (Assets Under Management)$ 1,198,858,655

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

AUTUMN LANE ADVISORS, LLC

CRD#: 173624Houston, TX 77063

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