James C. Tarvin

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CRD#: 4415765

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James C. Tarvin, who also goes by James C. Tarvin, Jim Tarvin, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2003. James had worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

James C. Tarvin | Jim Tarvin

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 15, 2017 - September 19, 2022

PHYSICIAN FAMILY FINANCIAL ADVISORS INC

RIA

CRD#: 138433

Chattanooga, TN

Past

April 28, 2010 - November 15, 2017

GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 118668

CHATTANOOGA, TN

Past

May 9, 2003 - April 14, 2010

MCS FAMILY WEALTH ADVISORS

RIA

CRD#: 106327

EUGENE, OR

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".

PHYSICIAN FAMILY FINANCIAL ADVISORS INC

PHYSICIAN FAMILY FINANCIAL ADVISORS | UTLEY FINANCIAL PLANNING INC. | PHYSICIAN FAMILY FINANCIAL ADVISORS INC

CRD#: 138433 / SEC#: 801-117856

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Oregon

Registered Investment Advisory firm - (1/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 12/26/2000

Uniform Investment Adviser Law Examination

Current Firm

PHYSICIAN FAMILY FINANCIAL ADVISORS INC

PHYSICIAN FAMILY FINANCIAL ADVISORS | UTLEY FINANCIAL PLANNING INC. | PHYSICIAN FAMILY FINANCIAL ADVISORS INC

CRD#: 138433 / SEC#: 801-117856

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Oregon

Registered Investment Advisory firm - (1/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2020 Terminated)

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Contact information

Main Address

9450 Sw Gemini Dr Pmb 52736, Beaverton, OR 97008-7105

Mailing Address

Phone number

(541) 463-0899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR DISCLOSURE BROCHURE (1/30/2025)

Regulatory assets under management

Total Number of Accounts	593
AUM (Assets Under Management)	$ 228,691,735

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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James C. Tarvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PHYSICIAN FAMILY FINANCIAL ADVISORS INC

GUARDIAN WEALTH MANAGEMENT, LLC

MCS FAMILY WEALTH ADVISORS

Primary Firm SEC Registration

PHYSICIAN FAMILY FINANCIAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/26/2000

Current Firm

PHYSICIAN FAMILY FINANCIAL ADVISORS INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PHYSICIAN FAMILY FINANCIAL ADVISORS INC

TRUST BUT VERIFY

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