James D. Evans

STONE WEALTH STRATEGIES

Denver, CO

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CRD#: 6793785

Professional summary

James Donivan Evans, who also goes by Jim Evans, is a registered financial advisor currently at STONE WEALTH STRATEGIES located in Denver, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Evans

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. Law Office of J. D. Evans PC; Law Office; Attorney/Owner; 01/01/2014; 300 hrs/month; 100 hrs/month during trading; Full-time attorney and business owner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Donivan Evans'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®

None

Experience

Current

October 11, 2020 - Present

STONE WEALTH STRATEGIES

RIA

CRD#: 297961

Denver, CO

Past

June 6, 2017 - July 29, 2020

MATHIES FINANCIAL PARTNERS

RIA

CRD#: 150079

Denver, CO

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

Colorado
(10/11/2020)

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: 4/27/2017

Uniform Investment Adviser Law Examination

Current Firm

STONE WEALTH STRATEGIES

STONE ADVISORS INC | STONE WEALTH STRATEGIES

CRD#: 297961 / SEC#:

Alabama

Registered Investment Advisory firm - (12/5/2022 Terminated)

Arizona

Registered Investment Advisory firm - (9/27/2018 Approved)

Colorado

Registered Investment Advisory firm - (9/24/2018 Approved)

Florida

Registered Investment Advisory firm - (10/28/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2019 Approved)

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).

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(970) 668-0772

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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James D. Evans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Donivan Evans's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONE WEALTH STRATEGIES

MATHIES FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2017

Current Firm

STONE WEALTH STRATEGIES

Contact information

Documents

Red Flags

Company Information

STONE WEALTH STRATEGIES

TRUST BUT VERIFY

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