James W. Buckham

WELLESLEY ASSET MANAGEMENT

Portsmouth, NH 03801

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CRD#: 5670052

Professional summary

James William Buckham, who also goes by James Buckham, is a registered financial advisor currently at WELLESLEY ASSET MANAGEMENT, INC. located in Portsmouth, New Hampshire.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. James has worked at 2 firms and has passed the Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Buckham

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 William Buckham'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 28, 2025 - Present

WELLESLEY ASSET MANAGEMENT, INC.

Office #1: 100 Market Street Suite 203, Portsmouth, NH 03801

RIA

CRD#: 116176

Portsmouth, NH

Past

August 13, 2013 - January 14, 2025

WELLESLEY ASSET MANAGEMENT, INC.

RIA

CRD#: 116176

PORTSMOUTH, NH

Past

June 9, 2009 - November 18, 2010

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

BOSTON, MA

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".

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 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

New Hampshire
(1/28/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 7/13/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 9/18/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/8/2009

General Securities Representative Examination

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 Approved)

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Contact information

Main Address

100 Market Street Suite 203, Portsmouth, NH 03801

Mailing Address

Phone number

(781) 416-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAM ADV 2A REFERRED CLIENTS (10/29/2025)

WAM ADV 2A DIRECT CLIENTS (10/29/2025)

Regulatory assets under management

Total Number of Accounts	1,478
AUM (Assets Under Management)	$ 2,063,684,848

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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James W. Buckham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Buckham's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

WELLESLEY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/13/2009

Series 55

Date: 9/18/2009

Series 7

Date: 6/8/2009

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLESLEY ASSET MANAGEMENT, INC.

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