James O. Herlocker

OXLEY WEALTH MANAGEMENT

SANDY, UT

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CRD#: 858348

Professional summary

James Oxley Herlocker, CFP®, who also goes by Jim Herlocker, Rudi Herlocker, is a registered financial advisor currently at OXLEY WEALTH MANAGEMENT, LLC located in Sandy, Utah.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. James has 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"?

Yes

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.

1.NAME OF OTHER BUSINESS: DBA - CENTER FOR FINANCIAL PLANNING INVESTMENT RELATED: YES ADDRESS: SAME AS BRANCH NATURE OF BUSINESS: Fixed Insurance Sales POSITION/TITLE/RELATIONSHIP: Insurance Agent START DATE: 08/1981 TIME SPENT 30%: BRIEF DESCRIPTION OF DUTIES: Fixed Insurance Sales 2. RIA with UT State: Oxley Wealth Management, LLC Investment Related. CFP, Investment Advisory and financial planning offered on a fee basis. 3. Soft Paws Management, LLC. Not investment related. Address 12213 S. Nicklaus Road, Sandy, UT 84092. A personal LLC formed to purchase an office condo that is leased to my financial services practice. Position/Title/Relationship: Member. Start Date 2018. Description of duties, own and operate a single occupancy rental property. Hours devoted per week 0 4.Fortune Financial Services, Inc.; Registered Representative; Broker/Dealer commission product sales; started 01/2019; Approximately 20% of time spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Oxley Herlocker'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®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

January 3, 2019 - Present

OXLEY WEALTH MANAGEMENT, LLC

RIA

CRD#: 298238

SANDY, UT

Past

January 2, 2019 - June 30, 2025

FORTUNE FINANCIAL SERVICES, INC.

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

CRD#: 13572

COTTONWOOD HEIGHTS, UT

Past

October 23, 1978 - March 20, 1987

WADDELL & REED

CRD#: 866

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

Utah
(1/3/2019)

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

Series 63

Date: 12/1/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1997

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 10/16/1978

Registered Representative Examination

Current Firm

OXLEY WEALTH MANAGEMENT, LLC

CRD#: 298238 / SEC#:

Utah

Registered Investment Advisory firm - (1/3/2019 Approved)

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Contact information

Main Address

Sandy, UT

Mailing Address

Phone number

(801) 565-1441

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 12,700,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James O. Herlocker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Oxley Herlocker's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/1981

Series 22TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/13/1997

Series 1

Date: 10/16/1978

Current Firm

OXLEY WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OXLEY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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