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James Patrick Darby II

James P. Darby

ADELL HARRIMAN & CARPENTER
HOUSTON, TX 77056
Some features on this profile are disabled
CRD#: 6426424
James Patrick Darby II
James Patrick Darby IIADELL HARRIMAN & CARPENTER

Professional summary

James Patrick Darby II, CFP®, who also goes by James Patrick Darby, is a registered financial advisor currently at ADELL HARRIMAN & CARPENTER located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. James has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

James Patrick Darby

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 Patrick Darby II'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®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

August 30, 2026 - Present

ADELL HARRIMAN & CARPENTER

Office #1: 2700 Post Oak Blvd, Ste 1200, Houston, TX 77056
RIA
CRD#: 107488
HOUSTON, TX
Past

June 27, 2024 - July 30, 2026

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
HOUSTON, TX
Past

June 27, 2024 - July 30, 2026

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
HOUSTON, TX
Past

December 17, 2018 - June 18, 2024

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

December 17, 2018 - June 18, 2024

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
HOUSTON, TX
Past

October 23, 2015 - December 18, 2018

USCA RIA LLC

RIA
CRD#: 152170
HOUSTON, TX
Past

August 31, 2015 - December 18, 2018

USCA SECURITIES LLC

BD
CRD#: 103789
HOUSTON, TX
Past

May 20, 2015 - September 2, 2015

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
AUSTIN, 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".
AH
ADELL HARRIMAN & CARPENTER
ADELL HARRIMAN & CARPENTER | ADELL HARRIMAN & CARPENTER INC

CRD#: 107488 / SEC#: 801-50660

RIA
Registered Investment Advisory firm - (11/29/1995 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
Texas
(8/30/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/19/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/4/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2015
General Securities Representative Examination

Current Firm

AH
ADELL HARRIMAN & CARPENTER
ADELL HARRIMAN & CARPENTER | ADELL HARRIMAN & CARPENTER INC

CRD#: 107488 / SEC#: 801-50660

RIA
Registered Investment Advisory firm - (11/29/1995 Approved)
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Contact information

Main Address
2700 Post Oak Blvd, Ste 1200, Houston, TX 77056
Mailing Address
Phone number
(713) 621-1155
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADELL HARRIMAN ADV PART 2A - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts2,091
AUM (Assets Under Management)$ 1,756,064,467

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/31/2025
Cover Page
Report
07/19/2024
Cover Page
Report
09/26/2023
Cover Page
Report
10/31/2022
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.

Company Information

ADELL HARRIMAN & CARPENTER

CRD#: 107488Houston, TX 77056

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