James L. Spickard

ADVANTA WEALTH MANAGEMENT

LYNCHBURG, VA 24504

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CRD#: 4832559

Professional summary

James L. Spickard, who also goes by James L Spickard, is a registered financial advisor currently at ADVANTA WEALTH MANAGEMENT located in Lynchburg, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 6 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James L Spickard

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. Independent Insurance Brokering; Great American (June 2014). 2. I am on the board of directors for the Blue Ridge Pregnancy Center-3701 Old Forest Rd. Lynchburg, VA 24501. I am on the finance committee, but we discuss budget items and I do not make any investment recommendations. The investments are held at another firm that makes these recommendations. Not investment-related. 4 hours spent per month during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James L. Spickard'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®

None

Experience

Current

August 8, 2023 - Present

ADVANTA WEALTH MANAGEMENT

Office #1: 828 Main St Suite 1601, Lynchburg, VA 24504

RIA

CRD#: 326877

LYNCHBURG, VA

Past

March 22, 2022 - September 7, 2023

SELECTIVE WEALTH MANAGEMENT, INC.

RIA

CRD#: 164882

BROOKNEAL, VA

Past

May 9, 2014 - March 18, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FOREST, VA

Past

May 9, 2014 - March 18, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FOREST, VA

Past

March 8, 2011 - May 9, 2014

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

STANLEYTOWN, VA

Past

March 8, 2011 - May 9, 2014

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

STANLEYTOWN, VA

Past

June 2, 2010 - August 23, 2010

MORGAN STANLEY

CRD#: 149777

LYNCHBURG, VA

Past

July 21, 2005 - November 20, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FOREST, VA

Past

May 18, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 18, 2005 - November 20, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FOREST, VA

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

North Carolina
(8/5/2024)

IAR

Virginia
(8/8/2023)

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: 3/4/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/19/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/10/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/30/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2010

General Securities Representative Examination

Current Firm

ADVANTA WEALTH MANAGEMENT

ADVANTA WEALTH MANAGEMENT | JE SPICKARD LLC

CRD#: 326877 / SEC#:

North Carolina

Registered Investment Advisory firm - (8/1/2024 Approved)

Virginia

Registered Investment Advisory firm - (8/8/2023 Approved)

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Contact information

Main Address

828 Main St Suite 1601, Lynchburg, VA 24504

Mailing Address

Phone number

(434) 255-0255

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	211
AUM (Assets Under Management)	$ 31,347,124

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 L. Spickard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James L. Spickard's CRS (Customer Relationship Summary).

Certified licenses

Experience

SELECTIVE WEALTH MANAGEMENT, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

MORGAN STANLEY

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2011

Series 63

Date: 2/19/2011

Series 66

Date: 6/10/2005

Series 7TO

Date: 6/30/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2010

Current Firm

ADVANTA WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVANTA WEALTH MANAGEMENT

TRUST BUT VERIFY

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