James Braxton has been an investment adviser representative at SWMG since September 2026, and is not listed among the firm’s executive officers or direct owners.
SWMG, LLC is a Fort Worth, TX firm with $430M under management, 429 clients and 5 advisers in one office, as of its August 2026 filing.
James Braxton’s longest registration was 8 years at First Command Financial Planning, Inc. (2007–2015). Before joining SWMG in 2026, James Braxton was registered through Thrivent Investment Management Inc. and First Command Advisory Services.
- Thrivent Investment Management Inc.– · 3 yearsFort Worth, TX · Adviser representative · Firm CRD 18387
- First Command Advisory Services– · 6 yearsFort Worth, TX · Adviser representative · Firm CRD 281958
- First Command Financial Planning, Inc.– · 8 yearsColonial Heights, VA · Adviser representative · Firm CRD 3641
Investment adviser representative registrations
James Braxton is registered as an investment adviser representative in Texas, since September 2026.
- TexasSince 10 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 22 June 2018 |
| Series 7 | General Securities Representative Examination | 14 November 2017 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 6 June 2012 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 July 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 July 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 8 May 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Larkin Braxton
- CRD
- 5284052
- Firm
- SWMG · CRD 166688
- Office
- 3343 LOCKE AVE, STE 107, Fort Worth, TX 76107
- Registration
- Investment adviser registration
- In the industry since
- January 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does James Braxton work?
James Braxton is an investment adviser representative registered through SWMG, LLC since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is James Braxton a financial advisor?
Yes. James Braxton has a current investment-adviser registration in Texas, through SWMG since September 2026.
How many years of experience does James Braxton have?
James Braxton has 18 years in the financial industry, since January 2008, across 4 adviser firms.
What exams has James Braxton passed?
James Braxton has passed 6 licensing exams: the Series 6, Series 63, Series 65, Series 26, Series 7 and Series 24. The earliest, the Series 6, was passed in May 2007. FINRA credited James Braxton with the SIE, which began in October 2018.
Where did James Braxton work before SWMG?
Before SWMG, James Braxton was registered through Thrivent Investment Management Inc., August 2022 to April 2026; First Command Advisory Services, December 2015 to May 2022; First Command Financial Planning, Inc., August 2007 to December 2015.
Where is James Braxton based?
James Braxton’s registered office is in Fort Worth, TX.
Is James Braxton registered with FINRA?
No. James Braxton has no current broker registration.
How can I verify James Braxton’s record?
Search CRD 5284052 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Braxton’s full registration record.
