James T. Leopold

ARKOS GLOBAL ADVISORS

Houston, TX 77027

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CRD#: 6646021

Professional summary

James Thomas Leopold II, who also goes by James Leopold, is a registered financial advisor currently at ARKOS GLOBAL ADVISORS, LLC located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. James has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Leopold

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.

RIDE INDOOR CYCLING, L.L.C. POSITION: Instructor NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/18/2020 ADDRESS: 117 Lavaca Street, Austin TX 78703, United States DESCRIPTION: I will teach a cycling class ranging from 1-40 people a few times a week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Leopold 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®

None

Experience

Current

September 2, 2021 - Present

ARKOS GLOBAL ADVISORS, LLC

Office #1: 4400 Post Oak Pkwy Ste. 1950, Houston, TX 77027

RIA

CRD#: 287466

Houston, TX

Past

January 3, 2018 - July 6, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

HOUSTON, TX

Past

July 19, 2016 - July 6, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

HOUSTON, 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".

ARKOS GLOBAL ADVISORS, LLC

ARCHETYPE WEALTH PARTNERS, LLC | HARPER ADVISORS, LLC | ARKOS GLOBAL ADVISORS, LLC

CRD#: 287466 / SEC#: 801-110406

RIA

Registered Investment Advisory firm - (4/14/2017 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
(9/2/2021)

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 65

Date: 12/23/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/25/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/18/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARKOS GLOBAL ADVISORS, LLC

ARCHETYPE WEALTH PARTNERS, LLC | HARPER ADVISORS, LLC | ARKOS GLOBAL ADVISORS, LLC

CRD#: 287466 / SEC#: 801-110406

RIA

Registered Investment Advisory firm - (4/14/2017 Approved)

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Contact information

Main Address

4400 Post Oak Pkwy Ste. 1950, Houston, TX 77027

Mailing Address

Phone number

(346) 352-2360

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARKOS ADV2A BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	1,229
AUM (Assets Under Management)	$ 1,109,378,000

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 T. Leopold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Leopold II's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

ARKOS GLOBAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2017

Series 63

Date: 9/1/2016

Series 7TO

Date: 10/25/2018

SIE

Date: 10/1/2018

Series 6

Date: 7/18/2016

Current Firm

ARKOS GLOBAL ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARKOS GLOBAL ADVISORS, LLC

TRUST BUT VERIFY

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