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JH

James W. Havens

LATHROP INVESTMENT MANAGEMENT COMPANY
LITTLE ROCK, AR 72227
Some features on this profile are disabled
CRD#: 4527207
JH

Professional summary

James Wesley Havens is a registered financial advisor currently at LATHROP INVESTMENT MANAGEMENT COMPANY located in Little Rock, Arkansas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

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 Wesley Havens'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®
None

Experience

Current

April 28, 2025 - Present

LATHROP INVESTMENT MANAGEMENT COMPANY

Office #1: 500 Pleasant Valley Drive, Building D-101, Little Rock, AR 72227
RIA
CRD#: 334458
LITTLE ROCK, AR
Past

January 1, 2002 - April 29, 2025

LATHROP INVESTMENT MANAGEMENT CORP

RIA
CRD#: 108327
LITTLE ROCK, AR

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".
LI
LATHROP INVESTMENT MANAGEMENT COMPANY
LATHROP INVESTMENT MANAGEMENT COMPANY

CRD#: 334458 / SEC#: 801-131853

RIA
Registered Investment Advisory firm - (12/12/2024 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
Arkansas
(4/29/2025)
IAR
Texas
(4/28/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/3/2001
Uniform Investment Adviser Law Examination

Current Firm

LI
LATHROP INVESTMENT MANAGEMENT COMPANY
LATHROP INVESTMENT MANAGEMENT COMPANY

CRD#: 334458 / SEC#: 801-131853

RIA
Registered Investment Advisory firm - (12/12/2024 Approved)
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Contact information

Main Address
500 Pleasant Valley Drive, Building D-101, Little Rock, AR 72227
Mailing Address
Phone number
(501) 227-4930
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (7 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

LIMC LLC ADV PART 2 (2/4/2025)

Regulatory assets under management

Total Number of Accounts818
AUM (Assets Under Management)$ 937,096,914

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/06/2025
Cover Page
Report

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

LATHROP INVESTMENT MANAGEMENT COMPANY

CRD#: 334458Little Rock, AR 72227

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