JC
James S. Cave
THE WEALTH CONSULTING GROUP
Sacramento, CA 95815
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CRD#: 4791019
JC
Professional summary
James Scott Cave is a registered financial advisor currently at THE WEALTH CONSULTING GROUP located in Sacramento, California and LPL FINANCIAL LLC located in Sacramento, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1. 4/20/2016: Darold Mark - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 3/10/16 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100%. 2. 4/29/2016: WCG Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 3/10/16 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100%. 3. 01/30/2024 - Darold Mark & Associates - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 04/03/2017 - 80 Hours Per Month/ 72 Hours During Trading - I provide investment advisory services through WCG Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 1/2024. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view James Scott Cave'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
August 29, 2017 - Present
THE WEALTH CONSULTING GROUP
Office #1: 1455 Response Road, Suite 100, Sacramento, CA 95815RIA
CRD#: 173194
Sacramento, CA
Current
April 20, 2016 - Present
LPL FINANCIAL LLC
Office #1: 1455 Response Rd, Ste 100, Sacramento, CA 95815RIA
BD
CRD#: 6413
Sacramento, CA
Past
January 27, 2015 - April 19, 2016
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SACRAMENTO, CA
Past
January 26, 2015 - April 19, 2016
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SACRAMENTO, CA
Past
December 17, 2014 - January 21, 2015
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ROSEVILLE, CA
Past
March 6, 2014 - January 13, 2015
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Roseville, CA
Past
March 3, 2014 - January 13, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Roseville, CA
Past
September 24, 2010 - September 12, 2013
EDWARD JONES
RIA
CRD#: 250
LOOMIS, CA
Past
September 24, 2010 - September 12, 2013
EDWARD JONES
BD
CRD#: 250
LOOMIS, CA
Past
August 18, 2009 - September 29, 2010
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
SACRAMENTO, CA
Past
August 15, 2008 - August 3, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ROSEVILLE, CA
Past
August 15, 2008 - August 3, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ROSEVILLE, CA
Past
January 31, 2007 - August 28, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SACRAMENTO, CA
Past
November 14, 2006 - August 28, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SACRAMENTO, CA
Past
December 21, 2005 - December 12, 2006
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROSEVILLE, CA
Past
June 25, 2004 - June 2, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
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".
TW
THE WEALTH CONSULTING GROUP
ABOUND FINANCIAL | YERBA BUENA FINANCIAL PARTNERS | WILBORN ADVISORS | WCG WEALTH ADVISORS, LLC | WCG WEALTH ADVISORS | V WEALTH MANAGEMENT | V WEALTH | UTOR WEALTH | TRULY ALIGNED INC. | TRELOAR & HEISEL WEALTH MANAGEMENT | THE WEALTH CONSULTING GROUP | SUNDANCE INVESTMENTS LLC | STRONGHAVEN LLC | STONEBRIDGE GLOBAL INVESTMENTS | SPECTRUM WEALTH MANAGEMENT, INC. | REINERT WEALTH MANAGEMENT | REDWITZ WEALTH MANAGEMENT | RDM ASSOCIATES | PROSPERITY WEALTH PARTNERS, LLC | PAVLOVIC WEALTH MANAGEMENT | PASCHANG & ASSOCIATES | PALO VERDE WEALTH MANAGEMENT, LLC | NICHOLS WEALTH MANAGEMENT | NAVIGUIDE WEALTH PARTNERS | MTXE CAPITAL | MTXE ANALYTICS | METCALF PARTNERS WEALTH MANAGEMENT | MARKET CYCLE FINANCIAL | LUCAS WEALTH STRATEGIES | KONZA WEALTH ADVISORS | KC WEALTH ADVISOR, LLC | KAWABE & ASSOCIATES | KANSAS CITY RETIREMENT PLANNING, LLC | JHM WEALTH MANAGEMENT, INC. | INSTRUMENTAL ADVISORS | IMPACT WEALTH PARTNERS | HASKELL WEALTH MANAGEMENT | GREAT WESTERN WEALTH MANAGEMENT | GEN 4 WEALTH ADVISORS | FRANZ TATUM WEALTH MANAGEMENT | FINANCIAL YOGI | FIDES WEALTH STRATEGIES GROUP | FAMILY WEALTH MANAGEMENT GROUP | ENCORE WEALTH MANAGEMENT | EMBRACE WEALTH MANAGEMENT | EDMOND WEALTH MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT/DE MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT | DE MANAGEMENT | DAROLD MARK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT,LLC | CORNERSTONE FINANCIAL ADVOCATES | CLARIO FINANCIAL SERVICES | CARTER FINANCIAL | BYDAND FINANCIAL, LLC | BRIGHT ADVISORS, LLC | BRIANNE FINANCIAL | BALZER INVESTMENT MANAGEMENT, LLC | BAIR FINANCIAL PLANNING | APC WEALTH MANAGEMENT, INC. | ANCHOR WEALTH MANAGEMENT GROUP, LLC | ALTENBURG ASSET ADVISORS, LLC
CRD#: 173194 / SEC#: 801-80386
RIA
Registered Investment Advisory firm - (10/1/2014 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
RR
California(4/20/2016)
IAR
California(8/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TW
THE WEALTH CONSULTING GROUP
ABOUND FINANCIAL | YERBA BUENA FINANCIAL PARTNERS | WILBORN ADVISORS | WCG WEALTH ADVISORS, LLC | WCG WEALTH ADVISORS | V WEALTH MANAGEMENT | V WEALTH | UTOR WEALTH | TRULY ALIGNED INC. | TRELOAR & HEISEL WEALTH MANAGEMENT | THE WEALTH CONSULTING GROUP | SUNDANCE INVESTMENTS LLC | STRONGHAVEN LLC | STONEBRIDGE GLOBAL INVESTMENTS | SPECTRUM WEALTH MANAGEMENT, INC. | REINERT WEALTH MANAGEMENT | REDWITZ WEALTH MANAGEMENT | RDM ASSOCIATES | PROSPERITY WEALTH PARTNERS, LLC | PAVLOVIC WEALTH MANAGEMENT | PASCHANG & ASSOCIATES | PALO VERDE WEALTH MANAGEMENT, LLC | NICHOLS WEALTH MANAGEMENT | NAVIGUIDE WEALTH PARTNERS | MTXE CAPITAL | MTXE ANALYTICS | METCALF PARTNERS WEALTH MANAGEMENT | MARKET CYCLE FINANCIAL | LUCAS WEALTH STRATEGIES | KONZA WEALTH ADVISORS | KC WEALTH ADVISOR, LLC | KAWABE & ASSOCIATES | KANSAS CITY RETIREMENT PLANNING, LLC | JHM WEALTH MANAGEMENT, INC. | INSTRUMENTAL ADVISORS | IMPACT WEALTH PARTNERS | HASKELL WEALTH MANAGEMENT | GREAT WESTERN WEALTH MANAGEMENT | GEN 4 WEALTH ADVISORS | FRANZ TATUM WEALTH MANAGEMENT | FINANCIAL YOGI | FIDES WEALTH STRATEGIES GROUP | FAMILY WEALTH MANAGEMENT GROUP | ENCORE WEALTH MANAGEMENT | EMBRACE WEALTH MANAGEMENT | EDMOND WEALTH MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT/DE MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT | DE MANAGEMENT | DAROLD MARK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT,LLC | CORNERSTONE FINANCIAL ADVOCATES | CLARIO FINANCIAL SERVICES | CARTER FINANCIAL | BYDAND FINANCIAL, LLC | BRIGHT ADVISORS, LLC | BRIANNE FINANCIAL | BALZER INVESTMENT MANAGEMENT, LLC | BAIR FINANCIAL PLANNING | APC WEALTH MANAGEMENT, INC. | ANCHOR WEALTH MANAGEMENT GROUP, LLC | ALTENBURG ASSET ADVISORS, LLC
CRD#: 173194 / SEC#: 801-80386
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8925 West Post Road 2nd Floor, Las Vegas, NV 89148
Mailing Address
Phone number
(702) 263-1919
Established
Firm type
Fiscal year end
# of Employees
204
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,129 |
| AUM (Assets Under Management) | $ 5,446,595,206 |
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
THE WEALTH CONSULTING GROUP
CRD#: 173194Sacramento, CA 95815TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
