James Wayne Garrard
Professional Summary
James Wayne Garrard, who also goes by Jim Wayne Garrard, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2001 - 2013. James had worked at 26 firms and has passed the Series 28 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Wayne Garrard
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
COMMONWEALTH ADVISORS, INC.
Contact Information
Main Address
1017 Mumma Road, Suite 302, Lemoyne, PA 17043Mailing Address
1017 Mumma Road, Suite 302, Lemoyne, PA 17043Phone Number
(717) 731-1700Established
Pennsylvania since 07/12/2010Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CA HOLDING GROUP, LLC | MEMBER | — |
| BYBEL, NICHOLAS JR. | CHAIRMAN, CEO, CHIEF COMPLIANCE OFFICER, AML OFFICER | — |
| WEEKS, CURTIS ALLAN | FINOP, PFO, POO | 5278425 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Sep 2001About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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