James R. Bailes

WEALTH MANAGEMENT INVESTMENT ADVISORS

SPRING, TX 77389

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CRD#: 4439912

Professional summary

James Raleigh Bailes JR., CFP® is a registered financial advisor currently at WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC located in Spring, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 6 firms and has passed the Series 65, Series 63 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.

1. PARTNER WITH BAILES BATES & ASSOCIATES, LLP ACCOUNTING, INCOME TAX PLANNING AN PREPARATION.CPA PRACTICE. 55% OF MY TIME. PARTNER 2. INDEPENDENT INSURANCE AGENT, LIFE, HEATH, DISABILITY, LONG-TERM CARE, GROUP BENEFITS. NORTHSTAR BROKERAGE, CAPITAS FINANCIAL AND AMG. 5% OF TIME. 3. WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC - RIA - OWNER. FEE BASED FINANCIAL PLANNING, INVESTMENT ADVISORY, AND CONSULTING. SOLICITATION FEES. 40% OF TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Raleigh Bailes JR.'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 10, 2018 - Present

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

Office #1: 18935 I-45 North, Spring, TX 77389

RIA

CRD#: 170852

SPRING, TX

Past

February 3, 2017 - December 31, 2017

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

RIA

CRD#: 170852

SPRING, TX

Past

October 17, 2014 - December 31, 2016

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

RIA

CRD#: 170852

SPRING, TX

Past

November 27, 2013 - July 2, 2015

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

SUGAR LAND, TX

Past

November 3, 2008 - December 31, 2013

ONYX WEALTH ADVISORS, INC.

RIA

CRD#: 119558

DALLAS, TX

Past

November 3, 2008 - June 5, 2012

CAMBRIDGE LEGACY SECURITIES L.L.C.

CRD#: 103722

SUGAR LAND, TX

Past

August 19, 2004 - November 18, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

SUGAR LAND, TX

Past

October 22, 2003 - November 18, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SUGAR LAND, TX

Past

December 3, 2001 - September 11, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

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
(1/10/2018)

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: 1/14/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/30/2001

General Securities Representative Examination

Current Firm

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

WEALTH MANAGEMENT INVESTMENT ADVISORS | WMA FINANCIAL, LLC | WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

CRD#: 170852 / SEC#:

Texas

Registered Investment Advisory firm - (1/10/2018 Approved)

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Contact information

Main Address

18935 I-45 North, Spring, TX 77389

Mailing Address

Phone number

(281) 444-2220

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 R. Bailes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Raleigh Bailes JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

REGAL INVESTMENT ADVISORS LLC

ONYX WEALTH ADVISORS, INC.

CAMBRIDGE LEGACY SECURITIES L.L.C.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2004

Series 63

Date: 1/29/2002

Series 7

Date: 11/30/2001

Current Firm

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

WEALTH MANAGEMENT INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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