JH
James D. Hartsock
ACI WEALTH ADVISORS
NAPLES, FL 34108
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CRD#: 5864610
JH
Professional summary
James Dak Hartsock is a registered financial advisor currently at ACI WEALTH ADVISORS located in Naples, Florida.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 1 firm and has passed the Series 65 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
I HAVE A DESIGNATION AS AN INDEPENDENT INSURANCE AGENT AFFILIATED WITH MAGELLAN FINANCIAL, AN INSURANCE FMO. THE NATURE OF THE BUSINESS IS AS A PROVIDER OF INSURANCE AND INSURANCE RELATED PRODUCTS INCLUDING LIFE INSURANCE/ETC. I AM AN INDEPENDENT AGENT. THIS AFFILIATION BEGAN IN 2019. THE NUMBER OF HOURS SPENT ON THIS BUSINESS PER MONTH IS 1- 2 HOURS, GENERALLY OUTSIDE OF TRADING HOURS AND DOES NOT CONFLICT WITH MY RESPONSIBILITIES TO MY CLIENTS AS THEIR IAR. I HAVE NO DUTIES TO THE OTHER BUSINESS. THIS RELATIONSHIP WAS ENTERED TO GIVE ME THE CAPACITY TO BETTER PROTECT CLIENT ASSETS THROUGH THE ABILITY TO RECOMMEND INSURANCE PRODUCTS WHERE APPLICABLE. CLIENTS ARE UNDER NO OBLIGATION TO FOLLOW THESE RECOMMENDATIONS, AND SHOULD THEY ELECT TO FOLLOW THE RECOMMENDATIONS, THEY ARE UNDER NO OBLIGATION TO TRANSACT THROUGH ME OR ACI. THIS BUSINESS IS EITHER TRANSACTED THROUGH ME AS A SOLE PROPRIETOR OR UNDER THE BRAND NAME REALRETIREMENTINCOME.COM. THE ADDRESS OF THE BUSINESS IS 304 DREW LANE HEATH, TX 75032. I DO NOT MEET WITH CLIENTS OR PROSPECTS AT THIS ADDRESS. This business is not investment related.
I am the Vice Chairman for the Board of Directors for Celebrity Financial, LLC, a mortgage company, and am expected to provide 10 hours per month of service to Celebrity. Approximately 3 hours per month of this commitment occurs during trading hours. Duties include financial oversight and strategic guidance. Celebrity Financial is the parent company of the more recognizable Celebrity Home Loans. This business is not investment related. Celebrity provides mortgage loans to individuals in several states. It is the firm's belief that this outside activity does not and will not interfere with my ability to perform work related obligations to the Advisor or its clients, nor does it represent a conflict of interest with Advisor or Advisor clients. Celebrity has multiple offices in the United States with its corporate address at 5093 Dronningens Gade, Suite 1
St. Thomas, VI 00802. I have been on the Board of Directors for Celebrity since November 2018.
I have been an advising director for Allied Gaming/TechFast Australia since 2017. Allied Gaming is a technology assembler that builds personal computers intended for gaming and eSports. The time demand was limited to no more than 1 hour a month, took place outside trading hours, and posed no conflict with my role with ACI. Allied Gaming/TechFast Australia is located at 20 Wodonga Street Beverley, South Australia AUS 5009. In 2020, I was appointed as Co-Manager of Allied Gaming North America, LLC and am expected to serve primarily in an executive advisory capacity like a board of directors' seat. This role is expected to demand up to 15 hours per month on average of my time, with the majority of those hours served outside trading hours. Duties include financial oversight and strategic guidance. The firm does not believe it represents a material conflict with my role with ACI or obligations to ACI clients. Allied Gaming North America, LLC is located at 8311 Eastpoint Drive, Suite 400 Dallas, TX 75227.
CRS (Client Relationship Summary) - RIA
Click below to view James Dak Hartsock's 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®
NoneExperience
Current
February 3, 2011 - Present
ACI WEALTH ADVISORS
Office #1: 999 Vanderbilt Beach Rd Suite 200, Naples, FL 34108RIA
CRD#: 155494
NAPLES, FL
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
California(3/15/2013)
IAR
Florida(2/3/2011)
IAR
Texas(10/25/2018)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
AW
ACI WEALTH ADVISORS
ACI WEALTH ADVISORS | BRAND NAME PROCESS PORTFOLIOS USED TO DESCRIBE SPECIFIC PORTFOLIOS | ALTERNATIVE CAPITAL INVESTMENTS, LLC | ALTERNATIVE CAPITAL INVESTMENTS | ACTIVE CAPTIAL INVESTMENTS WEALTH ADVISORS LLC | ACTIVE CAPITAL INVESTMENTS WEALTH ADVISORS, LLC | ACI WEALTH ADVISORS, LLC
CRD#: 155494 / SEC#:
California
Registered Investment Advisory firm - (3/15/2013 Approved)Florida
Registered Investment Advisory firm - (2/3/2011 Approved)Texas
Registered Investment Advisory firm - (10/25/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9330 Lbj Frontage Road Suite 900, Dallas, TX 75243
Mailing Address
Phone number
(888) 407-4472
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 163 |
| AUM (Assets Under Management) | $ 25,896,000 |
Red Flags
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