James Ashby has been Managing Member of Mustard Seed Financial since February 2005, is a control person of the firm and directly owns under 5% of it.
Mustard Seed Financial, LLC is a Magnolia, AR firm with $449M under management, 734 clients and 9 advisers across 6 offices, as of its March 2026 filing.
J. David Ashby founded Mustard Seed Wealth Management in 2002. He began his career as an accountant in north Arkansas and later became a professor at Southern Arkansas University, where he launched the state's first financial planning curriculum. He leads continuing education seminars and has authored financial articles featured on the firm's blog.
Professional designations
Listed by Mustard Seed Financial
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Public Accountant (CPA)
Investment adviser representative registrations
James Ashby is registered as an investment adviser representative in 3 states. The first approvals date from February 2003; the most recent is Louisiana, in December 2012.
- ArkansasSince 28 February 2003
- LouisianaSince 13 December 2012
- TexasSince 28 September 2006
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 29 January 1999 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- James David Ashby
- CRD
- 3187944
- Firm
- Mustard Seed Financial · CRD 117737
- Role
- Managing Member
- Registration
- Investment adviser registration
- In the industry since
- February 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- msfwm.com
Where does James Ashby work?
James Ashby has been Managing Member of Mustard Seed Financial, LLC since February 2005, and is a control person of the firm.
Is James Ashby a financial advisor?
Yes. James Ashby has a current investment-adviser registration in Arkansas, Louisiana and Texas, through Mustard Seed Financial since February 2003.
How many years of experience does James Ashby have?
James Ashby has 23 years in the financial industry, since February 2003, across 1 adviser firm.
What exams has James Ashby passed?
James Ashby passed the Series 65 in January 1999.
Is James Ashby registered with FINRA?
No. James Ashby has no current broker registration.
Is James Ashby a CFP?
Mustard Seed Financial lists James Ashby with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify James Ashby’s record?
Search CRD 3187944 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Ashby’s full registration record.