James R. Wheeler

SOVEREIGN CAPITAL LLC

Fayetteville, AR

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CRD#: 6836796

Professional summary

James R. Wheeler is a registered financial advisor currently at SOVEREIGN CAPITAL LLC located in Fayetteville, Arkansas.

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 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. Adventure Lawn Care LLC; Investment Related: No; Address: 1047 E Rolling Hills Dr. Fayetteville, AR 72703; Nature of Business: Lawn Service; Position: Owner/Operator; Start Date: 2/2017; Approx. Hrs/Month: 30; Hrs devoted during trading hrs: 0; Duties: Sole proprietor. I manage all aspects of the business (administration, finance, & operations).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R. Wheeler'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

March 30, 2021 - Present

SOVEREIGN CAPITAL LLC

RIA

CRD#: 313108

Fayetteville, AR

Past

August 16, 2017 - January 4, 2021

ARVEST WEALTH MANAGEMENT

RIA

CRD#: 42057

FAYETTEVILLE, AR

Past

July 28, 2017 - January 4, 2021

ARVEST WEALTH MANAGEMENT

CRD#: 42057

FAYETTEVILLE, AR

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

Arkansas
(3/30/2021)

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: 8/16/2017

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2017

General Securities Representative Examination

Current Firm

SOVEREIGN CAPITAL LLC

CRD#: 313108 / SEC#:

Arkansas

Registered Investment Advisory firm - (3/30/2021 Approved)

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Contact information

Main Address

Fayetteville, AR

Mailing Address

Phone number

(479) 263-2766

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 2,062,135

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 R. Wheeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R. Wheeler's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN CAPITAL LLC

ARVEST WEALTH MANAGEMENT

ARVEST WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2017

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2017

Current Firm

SOVEREIGN CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN CAPITAL LLC

TRUST BUT VERIFY

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