James B. Crabtree

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CRD#: 6920880

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Brian Crabtree, who also goes by James B Crabtree, James Crabtree, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2018. James had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James B Crabtree | James Crabtree

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.

American Memorial Life and Liberty Bankers Life; Investment-Related; Louisville, KY; Insurance; Sales Agent; 7/2010; 0 hrs/mo; 0 hrs/mo during securities trading hours; there are no duties - receives insurance residuals on policies previously written.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 19, 2022 - July 28, 2025

WINEBRENNER CAPITAL MANAGEMENT LLC

RIA

CRD#: 154708

LOUISVILLE, KY

Past

March 11, 2021 - June 10, 2021

MORGAN STANLEY

RIA

CRD#: 149777

LOUISVILLE, KY

Past

March 11, 2021 - June 10, 2021

MORGAN STANLEY

CRD#: 149777

LOUISVILLE, KY

Past

June 7, 2019 - January 29, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

June 7, 2019 - January 29, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, TX

Past

June 22, 2018 - January 3, 2019

EDWARD JONES

RIA

CRD#: 250

HOUSTON, TX

Past

April 19, 2018 - January 3, 2019

EDWARD JONES

CRD#: 250

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".

WINEBRENNER CAPITAL MANAGEMENT LLC

CRD#: 154708 / SEC#: 801-115158

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

Florida

Registered Investment Advisory firm - (6/5/2019 Terminated)

Indiana

Registered Investment Advisory firm - (6/5/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (6/6/2019 Terminated)

Ohio

Registered Investment Advisory firm - (6/5/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2013 Terminated)

Utah

Registered Investment Advisory firm - (6/5/2019 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/21/2018

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: 4/19/2018

General Securities Representative Examination

Current Firm

WINEBRENNER CAPITAL MANAGEMENT LLC

CRD#: 154708 / SEC#: 801-115158

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

Florida

Registered Investment Advisory firm - (6/5/2019 Terminated)

Indiana

Registered Investment Advisory firm - (6/5/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (6/6/2019 Terminated)

Ohio

Registered Investment Advisory firm - (6/5/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2013 Terminated)

Utah

Registered Investment Advisory firm - (6/5/2019 Terminated)

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Contact information

Main Address

10602 Timberwood Circle Suite 13, Louisville, KY 40223-5367

Mailing Address

Phone number

(502) 671-0015

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WCM 2025 ANNUAL FORM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	997
AUM (Assets Under Management)	$ 243,191,689

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 B. Crabtree

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

WINEBRENNER CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2018

SIE

Date: 10/1/2018

Series 7

Date: 4/19/2018

Current Firm

WINEBRENNER CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINEBRENNER CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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