James D. Stillman

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CRD#: 4419886

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 Dale Stillman, who also goes by Jim Stillman, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2001. James had worked at 6 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Stillman

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

July 7, 2021 - March 5, 2024

HOBART WEALTH

RIA

CRD#: 168494

CHARLOTTE, NC

Past

April 19, 2017 - June 23, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

MOORESVILLE, NC

Past

September 15, 2014 - May 16, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

MOORESVILLE, NC

Past

February 12, 2010 - June 30, 2021

JDS WEALTH MANAGEMENT CORP.

RIA

CRD#: 151611

MOORESVILLE, NC

Past

July 16, 2003 - March 19, 2004

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

October 26, 2001 - December 31, 2001

IAC SECURITIES, INC.

CRD#: 14081

TINLEY PARK, IL

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".

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 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: 8/8/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 10/25/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 Terminated)

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Contact information

Main Address

7733 Ballantyne Commons Parkway Suite 101, Charlotte, NC 28277

Mailing Address

Phone number

(888) 553-0122

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

HOBART PRIVATE CAPITAL FIRM BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	1,891
AUM (Assets Under Management)	$ 429,701,468

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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Firm Stability Insights

James D. Stillman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HOBART WEALTH

AE WEALTH MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

JDS WEALTH MANAGEMENT CORP.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

IAC SECURITIES, INC.

Primary Firm SEC Registration

HOBART WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2009

Series 6

Date: 10/25/2001

Current Firm

HOBART WEALTH

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOBART WEALTH

TRUST BUT VERIFY

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