JS
James P. Spangler
TRADEWINDS WEALTH MANAGEMENT
Portland, OR 97239
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CRD#: 7237397
JS
Professional summary
James Paul Spangler Jr is a registered financial advisor currently at TRADEWINDS WEALTH MANAGEMENT located in Portland, Oregon.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. James has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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. 5/1/2020 - TRADEWINDS WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 7/6/2020 - Financial Advocates Investment Management - DBA: (Hybrid) TRADEWINDS WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 03/16/2020 - 173 Hours Per Month/9 Hours During Securities Trading - Time Spent 100%. 3. 7/6/2020 - FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 03/16/2020 - 173 Hours Per Month/9 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Financial Advocates Investment Management, an independent investment advisor firm. I started this business activity in 03/2020. I expect to spend approximately 173 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 1/20/2021 - BIOTRONIK Corporate Services US, Inc. - Not Investment Related - 6024 Jean Road, Lake Oswego, OR 97035 - Outside/W-2 Employment - HR Analyst - Started 01/04/2021 - Doing spreadsheet/systems work, creating presentations, etc. for annual performance review and merit increase cycles.
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Spangler Jr'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®
NoneExperience
Current
March 9, 2023 - Present
TRADEWINDS WEALTH MANAGEMENT
Office #1: 5550 S Macadam Ave Ste 110, Portland, OR 97239RIA
CRD#: 323879
Portland, OR
Past
July 1, 2020 - March 9, 2023
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
RIA
CRD#: 151298
Portland, OR
Past
May 16, 2020 - March 23, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
PORTLAND, OR
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".
TW
TRADEWINDS WEALTH MANAGEMENT
TRADEWINDS ASSET MANAGEMENT, LLC | TRADEWINDS WEALTH MANAGEMENT, LLC | TRADEWINDS WEALTH MANAGEMENT
CRD#: 323879 / SEC#: 801-127142
RIA
Registered Investment Advisory firm - (1/6/2023 Approved)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
Oregon(3/9/2023)
IAR
Texas(6/3/2025)
IAR
Washington(11/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/16/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
TW
TRADEWINDS WEALTH MANAGEMENT
TRADEWINDS ASSET MANAGEMENT, LLC | TRADEWINDS WEALTH MANAGEMENT, LLC | TRADEWINDS WEALTH MANAGEMENT
CRD#: 323879 / SEC#: 801-127142
RIA
Registered Investment Advisory firm - (1/6/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5550 S Macadam Ave Ste 110, Portland, OR 97239
Mailing Address
Phone number
(503) 673-2828
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 265 |
| AUM (Assets Under Management) | $ 137,267,206 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
