James R. Crocker

APEIRON

Walnut Creek, CA 94596

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CRD#: 5127548

Professional summary

James Richard Crocker is a registered financial advisor currently at APEIRON located in Walnut Creek, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Crocker'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

December 3, 2021 - Present

APEIRON

Office #1: 1655 N Main St., Suite 230, Walnut Creek, CA 94596

RIA

CRD#: 289273

Walnut Creek, CA

Past

June 5, 2018 - December 16, 2021

CASCADIA ADVISORY SERVICES, LLC

RIA

CRD#: 290231

Danville, CA

Past

February 28, 2012 - July 10, 2019

CETERA ADVISORS LLC

RIA

CRD#: 10299

DANVILLE, CA

Past

February 28, 2012 - December 20, 2021

CETERA ADVISORS LLC

CRD#: 10299

DANVILLE, CA

Past

July 16, 2008 - February 28, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

May 2, 2006 - February 28, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

DANVILLE, CA

Past

April 18, 2006 - May 3, 2006

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

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".

APEIRON

CRD#: 289273 / SEC#: 801-110974

RIA

Registered Investment Advisory firm - (8/4/2017 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

California
(12/3/2021)

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: 6/23/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/2006

General Securities Representative Examination

Current Firm

APEIRON

CRD#: 289273 / SEC#: 801-110974

RIA

Registered Investment Advisory firm - (8/4/2017 Approved)

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Contact information

Main Address

10000 North Central Expressway Suite 700, Dallas, TX 75231

Mailing Address

Phone number

(972) 421-2068

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APEIRON ADV PART 2A (3/21/2025)

APEIRON ADV PART 2A APPENDIX (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,411
AUM (Assets Under Management)	$ 730,000,000

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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James R. Crocker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Crocker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASCADIA ADVISORY SERVICES, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

SIGMA FINANCIAL CORPORATION

Primary Firm SEC Registration

APEIRON

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2008

Series 63

Date: 4/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 4/17/2006

Current Firm

APEIRON

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APEIRON

TRUST BUT VERIFY

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