James A. Davis

ASPEN WEALTH MANAGEMENT

Fort Worth, TX 76109

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CRD#: 6545250

Professional summary

James Arlen Davis, CFP®, who also goes by Jim Arlen Davis, is a registered financial advisor currently at ASPEN WEALTH MANAGEMENT, LLC located in Fort Worth, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. James has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Arlen Davis

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.

2% OWNERSHIP STAKE IN ASPEN WEALTH MANAGEMENT, LLC. MANAGING MEMBER. LESS THAN 10 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arlen Davis'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: 2019

Experience

Current

July 1, 2021 - Present

ASPEN WEALTH MANAGEMENT, LLC

Office #1: 4200 S. Hulen St. Suite 422, Fort Worth, TX 76109

RIA

CRD#: 159594

Fort Worth, TX

Past

April 20, 2020 - June 30, 2021

MILLS WEALTH ADVISORS, LLC

RIA

CRD#: 159251

SOUTHLAKE, TX

Past

July 13, 2018 - June 20, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

March 29, 2018 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

September 21, 2015 - June 17, 2019

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".

ASPEN WEALTH MANAGEMENT, LLC

ASPEN WEALTH MANAGEMENT | HELEN STEPHENS GROUP, LLC | HELEN STEPHENS GROUP | ASPEN WEALTH MANAGEMENT, LLC

CRD#: 159594 / SEC#: 801-114243

RIA

Registered Investment Advisory firm - (11/5/2018 Approved)

Louisiana

Registered Investment Advisory firm - (11/9/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/6/2018 Terminated)

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.

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
(7/1/2021)

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: 3/9/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/28/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2015

General Securities Representative Examination

Current Firm

ASPEN WEALTH MANAGEMENT, LLC

ASPEN WEALTH MANAGEMENT | HELEN STEPHENS GROUP, LLC | HELEN STEPHENS GROUP | ASPEN WEALTH MANAGEMENT, LLC

CRD#: 159594 / SEC#: 801-114243

RIA

Registered Investment Advisory firm - (11/5/2018 Approved)

Louisiana

Registered Investment Advisory firm - (11/9/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/6/2018 Terminated)

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Contact information

Main Address

4200 S. Hulen St. Suite 422, Fort Worth, TX 76109

Mailing Address

Phone number

(817) 546-6353

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (9/30/2025)

2A BROCHURE (9/30/2025)

Regulatory assets under management

Total Number of Accounts	961
AUM (Assets Under Management)	$ 509,577,516

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. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arlen Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

MILLS WEALTH ADVISORS, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ASPEN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/9/2018

Series 63

Date: 9/28/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2015

Current Firm

ASPEN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPEN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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