James L. Braxton

SWMG

FORT WORTH, TX 76107

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CRD#: 5284052

Professional summary

James Larkin Braxton, who also goes by James L Braxton, is a registered financial advisor currently at SWMG, LLC located in Fort Worth, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

At a Glance

Always Fiduciary

Aliases

James L Braxton

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.

CLAIRE VISTA HOA BOARD POSITION: Board Member NATURE: I'm a board member in my HOA for my neighborhood of 84 houses. I'm one of three board members, we don't have titles. We use a third party to handle all funds/finances/fines. We essentially just make decisions when it comes to improvements or actions to be taken on behalf of the community. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2024 ADDRESS: Aledo TX 76008, United States DESCRIPTION: see above N38983 LLC; Partner (25%); 09/2022; Aledo, TX; non-investment related; airplane partnership, no business dealings; 0 hrs/mo, 0 trading hrs/mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Larkin Braxton'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

September 10, 2026 - Present

SWMG, LLC

Office #1: 3343 Locke Ave Ste 107, Fort Worth, TX 76107

RIA

CRD#: 166688

FORT WORTH, TX

Past

August 22, 2022 - April 23, 2026

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Fort Worth, TX

Past

August 22, 2022 - April 23, 2026

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Fort Worth, TX

Past

December 15, 2015 - May 3, 2022

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

August 9, 2007 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

Colonial Heights, VA

Past

May 9, 2007 - May 3, 2022

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

Colonial Heights, VA

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".

SWMG, LLC

STRITTMATTER WEALTH MANAGEMENT GROUP, LLC | SWMG, LLC

CRD#: 166688 / SEC#: 801-116898

RIA

Registered Investment Advisory firm - (7/3/2019 Approved)

Texas

Registered Investment Advisory firm - (11/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(9/10/2026)

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: 7/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/2007

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: 11/14/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/8/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 6/6/2012

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SWMG, LLC

STRITTMATTER WEALTH MANAGEMENT GROUP, LLC | SWMG, LLC

CRD#: 166688 / SEC#: 801-116898

RIA

Registered Investment Advisory firm - (7/3/2019 Approved)

Texas

Registered Investment Advisory firm - (11/25/2019 Terminated)

PREMIUM

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Contact information

Main Address

3343 Locke Ave Ste 107, Fort Worth, TX 76107

Mailing Address

Phone number

(817) 210-3444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWMG, LLC ADV PART 2A BROCHURE (11/18/2025)

Regulatory assets under management

Total Number of Accounts	1,388
AUM (Assets Under Management)	$ 320,056,761

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. Braxton

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Larkin Braxton's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

SWMG, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2007

Series 63

Date: 7/10/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2017

Series 6

Date: 5/8/2007

Series 24

Date: 6/22/2018

Series 26

Date: 6/6/2012

Current Firm

SWMG, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWMG, LLC

TRUST BUT VERIFY

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