Thomas E. James

EPG WEALTH MANAGEMENT

Whitsett, NC

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CRD#: 5409735

Professional summary

Thomas Eugene James, CFP®, CIMA®, who also goes by Thomas E James, is a registered financial advisor currently at EPG WEALTH MANAGEMENT LLC located in Whitsett, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Thomas has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 22 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Thomas E James

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.

1)HIGH POINT UNIVERSITY; NOT INVESTMENT RELATED; HIGH POINT, NC; EDUCATION- ASSISTANT PROFESSOR OF THE PRACTICE OF FINANCE; 8/2016; 100 HRS/MONTH ABOUT 64 HRS/MONTH ARE DURING SECURITIES TRADING HOURS; PREPARE & DELIVER LECTURES AND PREPARE AND GRADE EXAMINATIONS, ADVISE STUDENTS. 2) FOX ROTHCHILD LAW FIRM LOCATED AT 999 PEACHTREE STREET NE SUITE 1500, ATLANTA, GA 30309. ROLE: EXPERT WITNESS, START DATE: 12/2024, NOT INVESTMENT RELATED. ROLES: PROVIDE OPINION ON SECURITIES CASE. MOST TIME SPENT ON WEEKENDS AND EVENINGS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Eugene James'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®

CFP^®

Certified Financial Planner

CIMA^®

CRD#: 14752

RALEIGH, NC

Past

September 26, 2007 - April 29, 2009

CIC ADVISERS, LLC

RIA

CRD#: 130735

WHITSETT, NC

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".

EPG WEALTH MANAGEMENT LLC

EAST PACES GROUP | KINSHIP WEALTH PARTNERS | EPG WEALTH MANAGEMENT LLC

CRD#: 302075 / SEC#: 801-116719

RIA

Registered Investment Advisory firm - (5/31/2019 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

North Carolina
(12/21/2021)

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

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 3/7/2008

Uniform Securities Agent State Law Examination

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EPG WEALTH MANAGEMENT LLC

EAST PACES GROUP | KINSHIP WEALTH PARTNERS | EPG WEALTH MANAGEMENT LLC

CRD#: 302075 / SEC#: 801-116719

RIA

Registered Investment Advisory firm - (5/31/2019 Approved)

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Contact information

Main Address

309 East Paces Ferry Rd Ne Ste 900, Atlanta, GA 30305

Mailing Address

Phone number

(404) 809-3680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EPG WEALTH MANAGEMENT FIRM BROCHURE (3/5/2026)

EPG WEALTH MANAGMENT WRAP FEE PROGRAM BROCHURE (3/5/2026)

Regulatory assets under management

Total Number of Accounts	1,194
AUM (Assets Under Management)	$ 579,086,058

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

Thomas E. James

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ARKADIOS CAPITAL

ACG WEALTH INC.

TRIAD ADVISORS LLC

TRI PILLAR INVESTMENTS, LLC

CAPITAL INVESTMENT GROUP, INC.

CIC ADVISERS, LLC

Primary Firm SEC Registration

EPG WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Passed: 3/7/2008

Series 65

Passed: 9/14/2007

SIE

Passed: 10/1/2018

Series 62

Passed: 3/31/2011

Series 22

Passed: 8/7/2008

Series 6

Passed: 3/17/2008

Current Firm

EPG WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EPG WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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