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JW

James A. Walne

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 5092837
JW

Professional summary

James Austin Walne, who also goes by Austin Walne, James Austin Walne III, is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

James is registered as a RR (Registered Representative) and started their career in finance in 2017. James has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Austin Walne | James Austin Walne Iii

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.
MID-MARKET VENTURES, LLC; INVESTMENT RELATED, 988 MARKET STREET, SAN FRANCISCO, CA 94102, CONSULTANT ON COMPANY DILIGENCE, OWNER, 4/2015 TO PRESENT; 40 HOURS PER MONTH DURING TRADING HOURS, PROVIDING SELL&BUY SIDE ADVISORY SERVICES IN THE FORM OF RESEARCH REPORTS AND ASSISTING WITH DILIGENCE. Artis Ventures, Investment Related, 988 Market Street, San Francisco, CA 94102, venture capital firm investing in technology startups, independent contractor, March 2015 to present, 40 hours per month during trading hours, attend pitch meetings, assist with due diligence, define marketing strategies Stringify, Inc, not investment related, 140 W. Main Street, Los Gatos, CA 95030, technology platform, Board member, March 2017 to present, 5 hours per week during trading hours, serve as member of board in connection with role at ARtis Ventures

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Austin Walne'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 22, 2015 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

January 4, 2017 - March 30, 2023

ARTIS VENTURES MANAGEMENT, L.P.

RIA
CRD#: 168686
San Francisco, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(4/22/2015)
RR
New York
(4/22/2015)
RR
Tennessee
(1/24/2025)
RR
Texas
(10/9/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/4/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/6/2015
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 62
Date: 4/22/2015
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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