James A. Sutch

HOXTON PLANNING & MANAGEMENT

Shepherdstown, WV 25443

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CRD#: 6328469

Professional summary

James Arthur Sutch JR, who also goes by James Arthur Sutch Jr., James Arthur Sutch, Jimmy Sutch, is a registered financial advisor currently at HOXTON PLANNING & MANAGEMENT, LLC located in Shepherdstown, West Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Arthur Sutch Jr. | James Arthur Sutch | Jimmy Sutch

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) Licensed Insurance Agent; Not Investment Related; At Reported Business Location; Insurance sales; 160 hrs/month, 160hrs/month during securities trading hours; Duties: Sale of insurance products. 2) Real Estate-Owner, Garnder Lane, Shepherdstown WV 25443. Farm Rent-non investment related. 0 hours/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Sutch JR'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

August 16, 2024 - Present

HOXTON PLANNING & MANAGEMENT, LLC

Office #1: 8530 Shepherdstown Pike, Shepherdstown, WV 25443

RIA

CRD#: 319087

Shepherdstown, WV

Past

November 29, 2023 - September 5, 2024

ARBOR PRIVATE WEALTH, LLC

RIA

CRD#: 315812

ASHBURN, VA

Past

December 8, 2015 - December 21, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HAGERSTOWN, MD

Past

December 8, 2015 - December 21, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HAGERSTOWN, MD

Past

March 10, 2015 - April 17, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HAGERSTOWN, MD

Past

March 10, 2015 - April 17, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HAGERSTOWN, MD

Past

August 15, 2014 - December 19, 2014

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HAGERSTOWN, MD

Past

June 4, 2014 - December 19, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HAGERSTOWN, 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".

HOXTON PLANNING & MANAGEMENT, LLC

CRD#: 319087 / SEC#: 801-123434

RIA

Registered Investment Advisory firm - (3/14/2022 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

West Virginia
(8/16/2024)

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: 8/15/2014

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: 6/3/2014

General Securities Representative Examination

Current Firm

HOXTON PLANNING & MANAGEMENT, LLC

CRD#: 319087 / SEC#: 801-123434

RIA

Registered Investment Advisory firm - (3/14/2022 Approved)

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Contact information

Main Address

8530 Shepherdstown Pike, Shepherdstown, WV 25443

Mailing Address

Phone number

(304) 876-2619

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR HOXTON PLANNING & MANAGEMENT, LLC (2/28/2025)

Regulatory assets under management

Total Number of Accounts	1,236
AUM (Assets Under Management)	$ 491,558,229

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 A. Sutch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Sutch JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARBOR PRIVATE WEALTH, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

HOXTON PLANNING & MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2014

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2014

Current Firm

HOXTON PLANNING & MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOXTON PLANNING & MANAGEMENT, LLC

TRUST BUT VERIFY

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