James L. Spies

OSAIC WEALTH

HUNT VALLEY, MD 21030

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CRD#: 5622129

Professional summary

James Langford Spies III, who also goes by James Langford Spies, James Spies, Jay Spies, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Hunt Valley, Maryland.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Langford Spies | James Spies | Jay Spies

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) Heritage Financial Consultants, LLC, 307 International Circle, STE 390, Hunt Valley MD Category: Insurance Investment Related: Yes Title: Agent Duties: sales and service of accident insurance, health insurance, disability insurance, fixed annuities, health savings accounts, traditional life insurance, life settlements, long-term care insurance Start Date: 06/2023 Hours per Month: 20 Hours per Month during trading hours: 20 2) Makers House, LLC, 966 South George Street, York PA Category: Legal Entity/LLC Investment Related: No Title: Owner Duties: partner in brewery business, role is consultative, not involved in day-to-day operations Start Date: 04/2023 Hours per Month: 40 Hours per Month during trading hours: 1 3) JLS3 LLC 307 International Circle, STE 300, Hunt Valley MD Category: Legal Entity/LLC Investment Related: No Title: Owner Duties: entity created to facilitate the handling of business expenses and operations Start Date: 08/2023 Hours per Month: 80 4) HERITAGE FINANCIAL CONSULTANTS, LLC POSITION: Agent/FP NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2025 ADDRESS: 307 International Circle, Suite 390, Hunt Valley MD 21030, United States DESCRIPTION: APG Payout with Heritage Financial Consultants, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Langford Spies III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Langford Spies III'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

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 307 International Circle Suite 390, Hunt Valley, MD 21030

RIA

CRD#: 23131

HUNT VALLEY, MD

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 307 International Circle Suite 390, Hunt Valley, MD 21030

RIA

CRD#: 23131

HUNT VALLEY, MD

Past

June 27, 2023 - January 24, 2025

OSAIC FA, INC.

RIA

CRD#: 3978

HUNT VALLEY, MD

Past

June 22, 2023 - January 24, 2025

OSAIC FA, INC.

CRD#: 3978

HUNT VALLEY, MD

Past

June 20, 2011 - June 23, 2023

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HUNT VALLEY, MD

Past

June 20, 2011 - June 23, 2023

MML INVESTORS SERVICES, LLC

CRD#: 10409

HUNT VALLEY, MD

Past

September 21, 2009 - June 9, 2011

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

HUNT VALLEY, MD

Past

September 21, 2009 - June 9, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HUNT VALLEY, MD

Past

May 29, 2009 - September 9, 2009

WADDELL & REED

RIA

CRD#: 866

OWINGS MILL, MD

Past

March 17, 2009 - September 9, 2009

WADDELL & REED

CRD#: 866

OWINGS MILL, MD

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Arizona
(1/24/2025)

California
(1/24/2025)

Colorado
(1/24/2025)

Delaware
(1/24/2025)

Hawaii
(1/24/2025)

Illinois
(1/24/2025)

Indiana
(1/24/2025)

Kentucky
(1/24/2025)

Maryland
(1/24/2025)

IAR

Maryland
(1/24/2025)

Michigan
(1/24/2025)

Montana
(1/24/2025)

New Jersey
(1/24/2025)

New York
(1/24/2025)

North Carolina
(1/24/2025)

Ohio
(1/24/2025)

Oregon
(1/24/2025)

Pennsylvania
(1/24/2025)

IAR

Pennsylvania
(5/8/2025)

South Carolina
(1/24/2025)

Tennessee
(1/24/2025)

Texas
(1/24/2025)

IAR

Texas
(1/24/2025)

Utah
(1/24/2025)

Virginia
(1/24/2025)

Washington
(1/24/2025)

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

State Security Law Exam

IAR

Series 66

Date: 4/13/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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 L. Spies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Langford Spies III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Langford Spies III's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FA, INC.

OSAIC FA, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2009

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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