JW
James A. Warner
LEAR INVESTMENT MANAGEMENT
Dallas, TX 75219
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CRD#: 4657145
JW
Professional summary
James Andrew Warner III, who also goes by James Andrew Warner III, Jim Warner, is a registered financial advisor currently at LEAR INVESTMENT MANAGEMENT located in Dallas, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Andrew Warner Iii | Jim Warner
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.
name of the other business: Black Ox Advisors LLC; whether the business is investment-related: No; the address of the other business: 4310 Merrell Rd., Dallas, TX 75229; the nature of the other business: Black Ox Advisors LLC provides non-investment financial advisory and management consulting services from time to time to various corporations and partnerships; your position, title, or relationship with the other business: Managing Partner; the start date of your relationship: 07/2016; the approximate number of hours/month you devote to the other business: 0-5; the number of hours you devote to the other business during securities trading hours: 0; and briefly describe your duties relating to the other business: I principally provide corporate financial planning and analysis services that range from financial modeling to evaluating pricing methodologies to analyzing returns of past and potential capital expenditures.
CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Warner III's 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®
NoneExperience
Current
May 17, 2019 - Present
LEAR INVESTMENT MANAGEMENT
Office #1: 2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219RIA
CRD#: 174119
Dallas, TX
Past
August 27, 2003 - April 22, 2005
BLACKSTONE SECURITIES PARTNERS L.P.
BD
CRD#: 17917
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".
LI
LEAR INVESTMENT MANAGEMENT
FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC
CRD#: 174119 / SEC#: 801-110851
RIA
Registered Investment Advisory firm - (7/21/2017 Approved)Texas
Registered Investment Advisory firm - (7/24/2017 Terminated)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
Texas(5/17/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
LI
LEAR INVESTMENT MANAGEMENT
FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC
CRD#: 174119 / SEC#: 801-110851
RIA
Registered Investment Advisory firm - (7/21/2017 Approved)Texas
Registered Investment Advisory firm - (7/24/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219
Mailing Address
Phone number
(214) 445-5900
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 305 |
| AUM (Assets Under Management) | $ 805,713,943 |
Red Flags
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Company Information
LEAR INVESTMENT MANAGEMENT
CRD#: 174119Dallas, TX 75219TRUST BUT VERIFY
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