JS
James D. Schmidly
AUXAN CAPITAL ADVISORS
Nong Bon, Prawet, Bangkok,
CRD#: 5093134
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JS
James Derek SchmidlyAUXAN CAPITAL ADVISORS
Professional summary
James Derek Schmidly is a registered financial advisor currently at AUXAN CAPITAL ADVISORS, LLC .
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 1 firm and has passed the Series 65, Series 34, Series 3 and Series 30 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Derek Schmidly'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
March 15, 2006 - Present
AUXAN CAPITAL ADVISORS, LLC
RIA
CRD#: 133061
Nong Bon, Prawet, Bangkok,
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
Arkansas(6/30/2017)
IAR
Kansas(9/2/2022)
IAR
Louisiana(5/16/2022)
IAR
Missouri(3/15/2006)
IAR
Ohio(6/1/2021)
IAR
Tennessee(11/27/2023)
IAR
Texas(7/14/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AC
AUXAN CAPITAL ADVISORS, LLC
AUXAN CAPITAL ADVISORS LLC | BLAICOL CAPITAL MANAGEMENT, LLC | AUXAN CAPITAL ADVISORS, LLC
CRD#: 133061 / SEC#:
Arkansas
Registered Investment Advisory firm - (6/29/2017 Approved)Kansas
Registered Investment Advisory firm - (9/1/2022 Approved)Louisiana
Registered Investment Advisory firm - (5/16/2022 Approved)Missouri
Registered Investment Advisory firm - (10/12/2004 Approved)Ohio
Registered Investment Advisory firm - (6/1/2021 Approved)Tennessee
Registered Investment Advisory firm - (11/27/2023 Approved)Texas
Registered Investment Advisory firm - (7/14/2011 Approved)Loading...
Contact information
Main Address
2215 W Chesterfield Blvd Suite 10, Springfield, MO 65807
Mailing Address
Phone number
(417) 268-9650
Established
Firm type
Fiscal year end
# of Employees
8
Regulatory assets under management
| Total Number of Accounts | 887 |
| AUM (Assets Under Management) | $ 89,638,927 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
