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JH

James O. Herlocker

Some features on this profile are disabled
CRD#: 858348
JH

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 Oxley Herlocker, CFP®, who also goes by Jim Herlocker, Rudi Herlocker, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1978. James had worked at 4 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Herlocker | Rudi Herlocker

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.
The advisor shows no other business activity.

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®
CFP®

Certified Financial Planner

Start date: 1986

Experience

Past

January 3, 2019 - December 31, 2025

OXLEY WEALTH MANAGEMENT, LLC

RIA
CRD#: 298238
SANDY, UT
Past

January 2, 2019 - June 30, 2025

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
Salt Lake City, UT
Past

August 2, 1996 - December 31, 2018

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
COTTONWOOD HEIGHTS, UT
Past

March 13, 1987 - December 31, 2018

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
COTTONWOOD HEIGHTS, UT
Past

October 23, 1978 - March 20, 1987

WADDELL & REED

BD
CRD#: 866

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 10/16/1978
Registered Representative Examination

Current Firm

OW
OXLEY WEALTH MANAGEMENT, LLC
OXLEY WEALTH MANAGEMENT, LLC

CRD#: 298238 / SEC#:

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Contact information

Main Address
Sandy, UT
Mailing Address
Phone number
(801) 209-0094
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts86
AUM (Assets Under Management)$ 12,700,000

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.

Company Information

OXLEY WEALTH MANAGEMENT, LLC

CRD#: 298238

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