James Alan Merkel | Financial Professional | Tucson, Arizona

Professional summary

James Alan Merkel is a registered financial advisor currently at PFG ADVISORS located in Tucson, Arizona and OSAIC WEALTH, INC. located in Tucson, Arizona.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 5 firms and has passed the Series 65, Series 63, 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.

PYRAMID FCU - DBA AZ POSITION: administrator NATURE: estates docs pro INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/31/2014 ADDRESS: 5801 Broadway, TUCSON AZ 85711, United States DESCRIPTION: I act as an administrator to assist members to navigate through the website. PFG ADVISORS POSITION: FINANCIAL ADVISOR NATURE: advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 70 START DATE: 01/13/2013 ADDRESS: 3200 N CENTRAL AVE, STE 200, PHOENIX AZ 85012, United States DESCRIPTION: ADVISORY PYRAMID FCU POSITION: financial services NATURE: Credit union INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/16/2014 ADDRESS: 4911 E BROADWAY BLVD, Tucson AZ 85711, United States DESCRIPTION: Financial services STATE INSURANCE LICENSE POSITION: agent NATURE: state Insurance license INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/15/2019 ADDRESS: 4911 E Broadway Blvd, tucson AZ 85711, United States DESCRIPTION: sell approved life and fixed products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Merkel'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 15, 2015 - Present

PFG ADVISORS

Office #1: 7740 E Speedway, Tucson, AZ 85711Office #2: 4911 E. Broadway Blvd, Tucson, AZ 85711Office #3: 1183 W Irvington Rd Suite 191, Tucson, AZ 85714Office #4: 5280 E Grant Rd, Tucson, AZ 85712

RIA

CRD#: 173344

TUCSON, AZ

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 5280 E Grant Rd, Tucson, AZ 85712Office #2: 5801 E Broadway Blvd, Tucson, AZ 85711-3901Office #3: 4491 N. Oracle Road, Tucson, AZ 85705Office #4: 4911 E Broadway Blvd, Tucson, AZ 85711Office #5: 8235 S. Houghton Road, Tucson, AZ 85747Office #6: 1183 W Irvington Road Suite 191, Tucson, AZ 85714

RIA

BD

CRD#: 23131

Tucson, AZ

Past

October 10, 2017 - June 14, 2024

SECURITIES AMERICA, INC.

BD

CRD#: 10205

Tucson, AZ

Past

May 14, 2013 - October 11, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

TUCSON, AZ

Past

January 14, 2013 - October 11, 2017

LPL FINANCIAL LLC

BD

CRD#: 6413

TUCSON, AZ

Past

January 14, 2003 - January 16, 2013

EDWARD JONES

BD

CRD#: 250

BISBEE, AZ

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".

PA

PFG ADVISORS

CRD#: 173344 / SEC#: 801-80797

RIA

Registered Investment Advisory firm - (12/1/2014 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Arizona
(4/24/2015)

RR

Arizona
(6/14/2024)

RR

Arkansas
(4/2/2025)

RR

California
(6/14/2024)

RR

Connecticut
(6/14/2024)

RR

Georgia
(1/6/2025)

RR

Maryland
(5/28/2025)

RR

Nebraska
(10/30/2024)

RR

Nevada
(6/14/2024)

RR

New Mexico
(6/14/2024)

RR

Pennsylvania
(6/14/2024)

IAR

Texas
(12/10/2018)

RR

Texas
(6/14/2024)

RR

Washington
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 1/16/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 1/13/2003

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

PA

PFG ADVISORS

CRD#: 173344 / SEC#: 801-80797

RIA

Registered Investment Advisory firm - (12/1/2014 Approved)

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Contact information

Main Address

3200 N. Central Ave Suite #200, Phoenix, AZ 85012

Mailing Address

Phone number

(800) 405-8850

Established

Firm type

Fiscal year end

# of Employees

119

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE AS OF NOVEMBER 10 2025 (11/10/2025)

WRAP FEE BROCHURE (11/10/2025)

Regulatory assets under management

Total Number of Accounts	13,550
AUM (Assets Under Management)	$ 3,083,491,501

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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Advisor Monitoring

Firm Stability Insights

James A. Merkel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Merkel's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

Primary Firm SEC Registration

PFG ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2013

Series 63

Date: 1/16/2003

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2003

FINRA

Current Firm

PFG ADVISORS

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PFG ADVISORS

TRUST BUT VERIFY

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