James H. Farris Iii

Some features on this profile are disabled

CRD#: 7235792

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 Hibbs Farris Iii III, who also goes by James Hibbs Farris III, James H Farris, James Hibbs Farris, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2020. James had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Hibbs Farris Iii | James H Farris | James Hibbs Farris

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)Name of Business: James Farris, author Address: 109 Catalpa Ln. , Mandeville, LA, 70471, United States Activity Type: Other Position/Title: Author Investment Related: No Start Date: 01/01/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Writing fiction novels(

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

November 22, 2024 - February 28, 2025

WEALTHTRUST ASSET MANAGEMENT, LLC

RIA

CRD#: 174901

Mandeville, LA

Past

July 30, 2020 - September 9, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Mandeville, LA

Past

March 9, 2020 - September 9, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Mandeville, LA

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".

WEALTHTRUST ASSET MANAGEMENT, LLC

CRD#: 174901 / SEC#: 801-80938

RIA

Registered Investment Advisory firm - (2/3/2015 Approved)

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: 7/21/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/9/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/20/2019

Securities Industry Essentials Examination

Current Firm

WEALTHTRUST ASSET MANAGEMENT, LLC

CRD#: 174901 / SEC#: 801-80938

RIA

Registered Investment Advisory firm - (2/3/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4458 Legendary Dr. Suite 140, Destin, FL 32541

Mailing Address

Phone number

(850) 460-8444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/28/2025)

WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	565
AUM (Assets Under Management)	$ 182,970,058

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James H. Farris Iii

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTHTRUST ASSET MANAGEMENT, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

WEALTHTRUST ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/21/2020

Series 7TO

Date: 3/9/2020

SIE

Date: 8/20/2019

Current Firm

WEALTHTRUST ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHTRUST ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors