James Oxley Herlocker
CFP®Professional Summary
James Oxley Herlocker, CFP®, who also goes by Jim Herlocker, Rudi Herlocker, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1978 - 2025. James had worked at 4 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Herlocker, Rudi Herlocker
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
OXLEY WEALTH MANAGEMENT, LLC
Contact Information
Main Address
Sandy, UTPhone Number
(801) 209-0094# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
86AUM (Assets Under Management)
$12,700,000Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 1 — Registered Representative Examination
Passed Oct 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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