James W. Judge

ETHOS FINANCIAL GROUP

King Of Prussia, PA 19406

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CRD#: 4818175

Professional summary

James William Judge IV, who also goes by James Judge, is a registered financial advisor currently at ETHOS FINANCIAL GROUP, LLC located in King Of Prussia, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. James has worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Judge

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.

INVESTMENT COMMITTEE; NOT INVESTMENT-RELATED; VILLANOVA, PA; VOLUNTEER COMMITTEE MEMBER; START DATE: 2023; APPROXIMATELY 1 HR/MO DURING TRADING HOURS; INVOLVED IN HIRING PAID ADVISORS AND OVERSIGHT OF INVESTMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Judge IV'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

June 24, 2024 - Present

ETHOS FINANCIAL GROUP, LLC

Office #1: 2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

RIA

CRD#: 321748

King Of Prussia, PA

Past

April 4, 2019 - December 31, 2019

GADSDEN

RIA

CRD#: 291195

WAYNE, PA

Past

March 4, 2016 - June 17, 2022

ALMANACK INVESTMENT PARTNERS

RIA

CRD#: 282428

WAYNE, PA

Past

March 20, 2015 - March 1, 2016

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

WAYNE, PA

Past

March 2, 2011 - February 4, 2015

GKFO, LLC

RIA

CRD#: 151138

W. CONSHOHOCKEN, PA

Past

January 4, 2006 - July 6, 2006

BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123

BERWYN, PA

Past

July 14, 2004 - December 21, 2005

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 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

Pennsylvania
(6/24/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/13/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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Contact information

Main Address

2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

Mailing Address

Phone number

(484) 889-7270

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ETHOS FINANCIAL GROUP BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	3,935
AUM (Assets Under Management)	$ 1,576,974,645

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 W. Judge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Judge IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

GADSDEN

ALMANACK INVESTMENT PARTNERS

SPIRE WEALTH MANAGEMENT, LLC

GKFO, LLC

BRINKER CAPITAL SECURITIES, LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ETHOS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2010

Series 63

Date: 7/21/2004

Series 6

Date: 7/13/2004

Current Firm

ETHOS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHOS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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