James D. Matlock

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CRD#: 5818062

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Depaul Matlock, who also goes by James D Matlock, James Depaul Matlock III, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2010. James had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James D Matlock | James Depaul Matlock Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 28, 2015 - August 15, 2016

MADDEN SECURITIES CORPORATION

RIA

CRD#: 18389

DALLAS, TX

Past

October 14, 2013 - October 5, 2015

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

May 15, 2012 - October 2, 2013

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

September 10, 2010 - October 1, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, 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".

MADDEN SECURITIES CORPORATION

DBA MADDEN ASSET MANAGEMENT | MADDEN, WILLIAM B. | MADDEN SECURITIES CORPORATION | MADDEN ASSET MANAGEMENT (A DIVISION OF MADDEN SECURITES CORP) | MADDEN ASSET MANAGEMENT

CRD#: 18389 / SEC#: 801-63277, 8-36598

RIA

Registered Investment Advisory firm - SEC (6/24/2004 Approved)

Texas

Registered Investment Advisory firm - SEC (10/31/2005 Terminated)

Terminated by SEC on 06/03/2012

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/4/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/17/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/5/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/2010

General Securities Representative Examination

Current Firm

MADDEN SECURITIES CORPORATION

DBA MADDEN ASSET MANAGEMENT | MADDEN, WILLIAM B. | MADDEN SECURITIES CORPORATION | MADDEN ASSET MANAGEMENT (A DIVISION OF MADDEN SECURITES CORP) | MADDEN ASSET MANAGEMENT

CRD#: 18389 / SEC#: 801-63277, 8-36598

RIA

Registered Investment Advisory firm - SEC (6/24/2004 Approved)

Texas

Registered Investment Advisory firm - SEC (10/31/2005 Terminated)

Terminated by SEC on 06/03/2012

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Contact information

Main Address

8333 Douglas Avenue Suite 1625, Dallas, TX 75225

Mailing Address

Phone number

(214) 855-5335

Established

Texas since 08/11/1986

Firm type

Corporation

Fiscal year end

March

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (6/23/2025)

Direct owners and executive officers

Name	Position	CRD#
MADDEN, WILLIAM BOYKIN	PRESIDENT, CHIEF COMPLIANCE OFFICER	316571

Regulatory assets under management

Total Number of Accounts	502
AUM (Assets Under Management)	$ 793,767,400

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 D. Matlock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST SOUTHWEST COMPANY, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

MADDEN SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 5/4/2012

Series 63

Date: 9/17/2010

SIE

Date: 10/5/2015

Series 7

Date: 9/9/2010

Current Firm

MADDEN SECURITIES CORPORATION

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

MADDEN SECURITIES CORPORATION

TRUST BUT VERIFY

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