James E. Clark

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CRD#: 4543806

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 Edward Clark, CFP® was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2001. James had worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

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)

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Past

January 14, 2009 - September 14, 2023

CBG & COMPANY, INC.

RIA

CRD#: 149225

FISHERS, IN

Past

July 23, 2001 - January 12, 2009

HUFFORD FINANCIAL ADVISORS, LLC

RIA

CRD#: 109191

INDIANAPOLIS, IN

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".

CBG & COMPANY, INC.

CRD#: 149225 / SEC#: 801-112354

RIA

Registered Investment Advisory firm - (1/19/2018 Approved)

California

Registered Investment Advisory firm - (2/28/2018 Terminated)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

Illinois

Registered Investment Advisory firm - (1/19/2018 Terminated)

Indiana

Registered Investment Advisory firm - (1/29/2018 Terminated)

Michigan

Registered Investment Advisory firm - (1/31/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (1/29/2018 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: 7/14/2001

Uniform Investment Adviser Law Examination

Current Firm

CBG & COMPANY, INC.

CRD#: 149225 / SEC#: 801-112354

RIA

Registered Investment Advisory firm - (1/19/2018 Approved)

California

Registered Investment Advisory firm - (2/28/2018 Terminated)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

Illinois

Registered Investment Advisory firm - (1/19/2018 Terminated)

Indiana

Registered Investment Advisory firm - (1/29/2018 Terminated)

Michigan

Registered Investment Advisory firm - (1/31/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (1/29/2018 Terminated)

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Contact information

Main Address

14074 Trade Center Drive Suite 151, Fishers, IN 46038

Mailing Address

Phone number

(317) 257-7400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 CBG FORM ADV 2A FINAL (3/7/2025)

Regulatory assets under management

Total Number of Accounts	543
AUM (Assets Under Management)	$ 252,079,191

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 E. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CBG & COMPANY, INC.

HUFFORD FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

CBG & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2001

Current Firm

CBG & COMPANY, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CBG & COMPANY, INC.

TRUST BUT VERIFY

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