James R. Goodhart

CHANCELLOR FINANCIAL GROUP WB LP

POTTSTOWN, PA

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CRD#: 712174

Professional summary

James Robert Goodhart, who also goes by Jim Goodhart, is a registered financial advisor currently at CHANCELLOR FINANCIAL GROUP WB LP located in Pottstown, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Goodhart

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.

ABA LIFE SALES. IT IS INVESTMENT RELATED. 1399 OLD GLASGOW ST., POTTSTOWN, PA 19464. OTHER BUSINESS INVOLVES MARKETING AND SELLING FIXED INSURANCE AND ANNUITY PRODUCTS. POSITION IS INSURANCE AGENT. HAS BEEN INSURANCE LICENSED SINCE 1980. APPROXIMATELY 2 HOURS/MONTH. NO TIME SPENT DURING TRADING HOURS. DUTIES INCLUDE SALES, MARKETING, AND SERVICING FIXED INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Goodhart'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

November 16, 2021 - Present

CHANCELLOR FINANCIAL GROUP WB LP

RIA

CRD#: 159563

POTTSTOWN, PA

Past

May 7, 2015 - August 15, 2019

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

Pottstown, PA

Past

January 3, 2007 - December 31, 2014

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

POTTSTOWN, PA

Past

September 6, 2001 - December 19, 2006

MIDSOUTH CAPITAL, INC.

CRD#: 35039

ATLANTA, GA

Past

July 14, 1993 - September 4, 2001

FIRST SECURITY INVESTMENTS, INC.

CRD#: 24035

KINGSTON, PA

Past

June 7, 1993 - June 29, 1993

FIRST SECURITY INVESTMENTS, INC.

CRD#: 24035

Past

October 20, 1987 - June 9, 1993

SECO WEST LIMITED

CRD#: 7637

WILLIAMSVILLE, NY

Past

July 22, 1980 - October 30, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

CHANCELLOR FINANCIAL GROUP WB LP

CHANCELLOR FINANCIAL GROUP | JSB FINANCIAL, LLC | CHANCELLOR FINANCIAL GROUP WB LP | CHANCELLOR FINANCIAL GROUP LP

CRD#: 159563 / SEC#: 801-117707

RIA

Registered Investment Advisory firm - (12/2/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2017 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.

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

Pennsylvania
(11/16/2021)

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: 10/5/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 7/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/23/1993

General Securities Principal Examination

Current Firm

CHANCELLOR FINANCIAL GROUP WB LP

CHANCELLOR FINANCIAL GROUP | JSB FINANCIAL, LLC | CHANCELLOR FINANCIAL GROUP WB LP | CHANCELLOR FINANCIAL GROUP LP

CRD#: 159563 / SEC#: 801-117707

RIA

Registered Investment Advisory firm - (12/2/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2017 Terminated)

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Contact information

Main Address

60 Public Square Suite 600, Wilkes-barre, PA 18701

Mailing Address

Phone number

(570) 822-4475

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHANCELLOR DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,404
AUM (Assets Under Management)	$ 216,108,289

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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Firm Stability Insights

James R. Goodhart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Goodhart's CRS (Customer Relationship Summary).

Certified licenses

Experience

TAYLOR CAPITAL MANAGEMENT INC.

NATIONS FINANCIAL GROUP, INC.

MIDSOUTH CAPITAL, INC.

FIRST SECURITY INVESTMENTS, INC.

FIRST SECURITY INVESTMENTS, INC.

SECO WEST LIMITED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CHANCELLOR FINANCIAL GROUP WB LP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2021

Series 63

Date: 8/1/1980

SIE

Date: 10/1/2018

Series 5

Date: 10/17/1981

Series 7

Date: 7/19/1980

Series 24

Date: 11/23/1993

Current Firm

CHANCELLOR FINANCIAL GROUP WB LP

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHANCELLOR FINANCIAL GROUP WB LP

TRUST BUT VERIFY

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