James E. Wheaton

STRATEGIC ADVISERS

WESTLAKE, TX 76262

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CRD#: 5342637

Professional summary

James Eugene Wheaton JR., who also goes by James E Wheaton Jr., James Eugene Wheaton Jr, James Eugene Wheaton, Jim Wheaton, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Westlake, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Aliases

James E Wheaton Jr. | James Eugene Wheaton Jr | James Eugene Wheaton | Jim Wheaton

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 Eugene Wheaton JR.'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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #1: One Destiny Way, Westlake, TX 76262

RIA

CRD#: 104555

WESTLAKE, TX

Current

November 1, 2013 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: One Destiny Way, Westlake, TX 76262

CRD#: 7784

WESTLAKE, TX

Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

WESTLAKE, TX

Past

November 14, 2013 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

January 4, 2012 - October 16, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

January 4, 2012 - October 16, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

December 9, 2011 - October 16, 2013

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

May 6, 2011 - September 13, 2011

M HOLDINGS SECURITIES, INC.

CRD#: 43285

DALLAS, TX

Past

February 26, 2008 - February 22, 2011

M HOLDINGS SECURITIES, INC.

CRD#: 43285

ST. LOUIS, MO

Past

July 10, 2007 - December 3, 2007

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

PLANO, TX

Past

July 2, 2007 - December 3, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

PLANO, TX

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(11/1/2013)

Texas
(11/1/2013)

IAR

Texas
(3/31/2025)

Utah
(11/1/2013)

Washington
(7/2/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 7/8/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 6/28/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Status Unavailable

Passed: 3/31/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Status Unavailable

Passed: 2/17/2022

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

17,112

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGIC ADVISERS LLC (3/30/2026)

FIDELITY STRATEGIC DISCIPLINES (3/30/2026)

FIDELITY GO (3/30/2026)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/30/2026)

FIDELITY WEALTH SERVICES (3/30/2026)

FIDELITY MANAGED FIDFOLIOS (3/30/2026)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/30/2026)

Regulatory assets under management

Total Number of Accounts	2,973,512
AUM (Assets Under Management)	$ 1,370,125,325,211

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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 E. Wheaton

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Eugene Wheaton JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 7/8/2007

SIE

Passed: 10/1/2018

Series 7

Passed: 6/28/2007

Series 10

Passed: 3/31/2022

Series 9

Passed: 2/17/2022

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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