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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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James Gerald Hendricks

James G. Hendricks

HENDRICKS WEALTH AND ESTATE MANAGEMENT
West Dundee, IL 60118
Some features on this profile are disabled
CRD#: 4514899
James Gerald Hendricks

Professional summary

James Gerald Hendricks, CFP® is a registered financial advisor currently at HENDRICKS WEALTH AND ESTATE MANAGEMENT located in West Dundee, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 6 firms and has passed the Series 66, SIE 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 Gerald Hendricks'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®
CFP®

Certified Financial Planner

Start date: 2007

Experience

Current

October 12, 2017 - Present

HENDRICKS WEALTH AND ESTATE MANAGEMENT

Office #1: 600 Spring Hill Ring Road, Suite #108, West Dundee, IL 60118
RIA
CRD#: 289593
West Dundee, IL
Past

January 21, 2021 - August 31, 2022

HERO INVESTMENT PLANNERS LLC

RIA
CRD#: 311962
WEST DUNDEE, IL
Past

October 3, 2016 - October 12, 2017

CETERA ADVISORS LLC

RIA
CRD#: 10299
WEST DUNDEE, IL
Past

October 3, 2016 - October 12, 2017

CETERA ADVISORS LLC

BD
CRD#: 10299
WEST DUNDEE, IL
Past

January 10, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
WEST DUNDEE, IL
Past

May 17, 2004 - October 3, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
WEST DUNDEE, IL
Past

May 14, 2004 - December 31, 2004

EASTERN POINT ADVISORS INC.

RIA
CRD#: 107123
LAKE IN THE HILLS, IL
Past

June 21, 2002 - May 24, 2004

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
HOFFMAN ESTATES, IL
Past

May 1, 2002 - May 24, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
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".
HW
HENDRICKS WEALTH AND ESTATE MANAGEMENT
HENDRICKS WEALTH AND ESTATE MANAGEMENT | J.G.HENDRICKS FINANCIAL SERVICES, LLC | J.G. HENDRICKS FINANCIAL SERVICES, LLC DBA HENDRICKS WEALTH AND ESTATE MANAGEMENT

CRD#: 289593 / SEC#: 801-111818

RIA
Registered Investment Advisory firm - (10/6/2017 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
Hawaii
(10/12/2017)
IAR
Illinois
(10/12/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/10/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/2002
General Securities Representative Examination

Current Firm

HW
HENDRICKS WEALTH AND ESTATE MANAGEMENT
HENDRICKS WEALTH AND ESTATE MANAGEMENT | J.G.HENDRICKS FINANCIAL SERVICES, LLC | J.G. HENDRICKS FINANCIAL SERVICES, LLC DBA HENDRICKS WEALTH AND ESTATE MANAGEMENT

CRD#: 289593 / SEC#: 801-111818

RIA
Registered Investment Advisory firm - (10/6/2017 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2403 Harnish Dr., Suite 201, Algonquin, IL 60102
Mailing Address
Phone number
(847) 428-3997
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (19 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

FORM ADV PART 2A - FIRM BROCHURE (3/18/2026)

Regulatory assets under management

Total Number of Accounts2,734
AUM (Assets Under Management)$ 536,115,799

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

HENDRICKS WEALTH AND ESTATE MANAGEMENT

CRD#: 289593West Dundee, IL 60118

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