Braden M. James

EMERGING OAKS CAPITAL LLC

Austin, TX

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CRD#: 6803569

Professional summary

Braden Mclelland James, who also goes by Braden James, is a registered financial advisor currently at EMERGING OAKS CAPITAL LLC located in Austin, Texas.

Braden is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Braden has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Braden James

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.

Braden James is engaged in the following outside business activities. - MiRealm Inc. (770 Spirit of St Louis Blvd, Chesterfield, MO, 63005) - Advisory Board Member (Start: 1/1/2021) - Consumer Technology Business - 4hr/mo. Advise on strategic direction of the business. - Trex Acquisition Corp. (OTC: TRXA) - Advisory Board Member (Start: 1/1/2022) - Technology Infrastructure Business 4hr/mo. Advise on strategic direction of the business. - Real Capital LLC - Managing Member (Start: 10/1/2021) - Real Estate Service Company - 40hr/mo. Participate in operations planning for the business. - ESGlobal Inc. (302 LAGO VERDE RD, AUSTIN, TX. 78734) - President (Start: 11/30/2021) - Energy & Conservation Technology Company 8hr/mo. Participate in operations planning for the business. The preceding list of outside business activities are not financial advisory or investment related businesses.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Braden Mclelland James'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

January 21, 2020 - Present

EMERGING OAKS CAPITAL LLC

RIA

CRD#: 306759

Austin, TX

Past

January 5, 2018 - December 3, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

AUSTIN, TX

Past

July 15, 2017 - December 3, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

AUSTIN, TX

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
(1/21/2020)

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 66

Date: 8/5/2017

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: 7/15/2017

General Securities Representative Examination

Current Firm

EMERGING OAKS CAPITAL LLC

CRD#: 306759 / SEC#:

Texas

Registered Investment Advisory firm - (1/21/2020 Approved)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(512) 351-9242

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 1,320,011

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/28/2022	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.

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Braden M. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Braden Mclelland James's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERGING OAKS CAPITAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/5/2017

SIE

Date: 10/1/2018

Series 7

Date: 7/15/2017

Current Firm

EMERGING OAKS CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMERGING OAKS CAPITAL LLC

TRUST BUT VERIFY

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