James T. Katikos

FOGUTH WEALTH MANAGEMENT.

Scottsdale, AZ 85258

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CRD#: 5151058

Professional summary

James T Katikos, who also goes by James Theodore Katikos, Jt Katikos, is a registered financial advisor currently at FOGUTH WEALTH MANAGEMENT, LLC. located in Scottsdale, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Theodore Katikos | Jt Katikos

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.

*443063 1.Kalyvest, LLC 2.Investment Related: No 3.Scottsdale, AZ 4.Real Estate 5.Owner 6.08/01/2021 7. Hours devoted to business:1 8. Hours devoted during Securities business:0 9. None.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James T Katikos'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

October 3, 2024 - Present

FOGUTH WEALTH MANAGEMENT, LLC.

Office #1: 8283 Hayden Rd. Ste 100, Scottsdale, AZ 85258

RIA

RIA

CRD#: 5475

PHOENIX, AZ

Past

September 21, 2007 - May 5, 2011

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

September 4, 2007 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

PHOENIX, AZ

Past

February 15, 2007 - June 29, 2007

NYLIFE SECURITIES LLC

CRD#: 5167

SOUTHFIELD, 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".

FOGUTH WEALTH MANAGEMENT, LLC.

CRD#: 327434 / SEC#: 801-128714

RIA

Registered Investment Advisory firm - (9/12/2023 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

Arizona
(3/12/2025)

IAR

Michigan
(10/3/2024)

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: 2/13/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/2007

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: 1/14/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/30/2021

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/25/2021

General Securities Sales Supervisor - Options Module Examination

Current Firm

FOGUTH WEALTH MANAGEMENT, LLC.

CRD#: 327434 / SEC#: 801-128714

RIA

Registered Investment Advisory firm - (9/12/2023 Approved)

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Contact information

Main Address

325 W. Main St., Brighton, MI 48116

Mailing Address

Phone number

(810) 522-5650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FWM ADV PART 2A FIRM BROCHURE (3/25/25) (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,683
AUM (Assets Under Management)	$ 439,609,115

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 T. Katikos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James T Katikos's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

USAA FINANCIAL PLANNING SERVICES

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL ADVISORS, INC.

USAA INVESTMENT SERVICES COMPANY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

FOGUTH WEALTH MANAGEMENT, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/2008

Series 63

Date: 4/11/2007

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2008

Series 6

Date: 2/14/2007

Series 10

Date: 3/30/2021

Series 9

Date: 1/25/2021

Current Firm

FOGUTH WEALTH MANAGEMENT, LLC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOGUTH WEALTH MANAGEMENT, LLC.

TRUST BUT VERIFY

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