James K. Hedges

HARVEST CAPITAL ASSETS

Surfside Beach, SC

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CRD#: 5335632

Professional summary

James King Hedges II, who also goes by James K Hedges, Jim Hedges, is a registered financial advisor currently at HARVEST CAPITAL ASSETS, LLC located in Surfside Beach, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James K Hedges | Jim Hedges

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.

RENTAL PROPERTY, INV RELATED, SURFSIDE BEACH, SC, 100% OWNED WITH SPOUSE, START: 11/2016, 0 HOURS, NO DUTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James King Hedges II'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

July 2, 2019 - Present

HARVEST CAPITAL ASSETS, LLC

RIA

CRD#: 269951

Surfside Beach, SC

Past

July 9, 2012 - January 29, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DILLON, SC

Past

July 6, 2012 - January 29, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DILLON, SC

Past

September 7, 2007 - July 13, 2012

EDWARD JONES

RIA

CRD#: 250

BENNETTSVILLE, SC

Past

June 28, 2007 - July 13, 2012

EDWARD JONES

CRD#: 250

BENNETTSVILLE, SC

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".

HARVEST CAPITAL ASSETS, LLC

HARVEST CAPITAL ASSETS | HARVEST CAPITAL ASSETS, LLC

CRD#: 269951 / SEC#: 801-121485

RIA

Registered Investment Advisory firm - (6/17/2021 Approved)

New York

Registered Investment Advisory firm - (7/2/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (7/2/2021 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

New York
(8/12/2021)

IAR

South Carolina
(7/2/2019)

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 66

Date: 7/12/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/27/2007

General Securities Representative Examination

Current Firm

HARVEST CAPITAL ASSETS, LLC

HARVEST CAPITAL ASSETS | HARVEST CAPITAL ASSETS, LLC

CRD#: 269951 / SEC#: 801-121485

RIA

Registered Investment Advisory firm - (6/17/2021 Approved)

New York

Registered Investment Advisory firm - (7/2/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (7/2/2021 Terminated)

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Contact information

Main Address

Sanborn, NY

Mailing Address

Phone number

(716) 597-8372

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-HARVEST CAPITAL ASSETS, LLC (3/10/2025)

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 67,000,000

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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Firm Stability Insights

James K. Hedges

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James King Hedges II's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

HARVEST CAPITAL ASSETS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2007

SIE

Date: 1/29/2018

Series 7

Date: 6/27/2007

Current Firm

HARVEST CAPITAL ASSETS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARVEST CAPITAL ASSETS, LLC

TRUST BUT VERIFY

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