James Davis has held the title Member at Aspen Wealth Management since May 2023, is not listed as a control person, but directly owns under 5% of the firm.
Aspen Wealth Management, LLC is a Fort Worth, TX firm with $658M under management, 353 clients and 6 advisers across 2 offices, as of its April 2026 filing.
James Davis’ longest registration is the current one, 5 years at Aspen Wealth Management since 2021. Before joining Aspen Wealth Management in 2021, James Davis was registered through Mills Wealth Advisors, LLC and Fidelity Personal and Workplace Advisors.
- Aspen Wealth Management, LLCCurrent– present · 5 yearsFort Worth, TX · Adviser representative · Firm CRD 159594
- Mills Wealth Advisors, LLC– · 1 yearSouthlake, TX · Adviser representative · Firm CRD 159251
- Fidelity Personal and Workplace Advisors– · under a yearBoston, MA · Adviser representative · Firm CRD 288590
- Strategic Advisers LLC– · under a yearWestlake, TX · Adviser representative · Firm CRD 104555
Investment adviser representative registrations
James Davis is registered as an investment adviser representative in Texas, since July 2021.
- TexasSince 1 July 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 March 2018 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 September 2015 |
| Series 7 | General Securities Representative Examination | 21 September 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Arlen Davis
- CRD
- 6545250
- Firm
- Aspen Wealth Management · CRD 159594
- Role
- Member
- Office
- 4200 S. HULEN ST., SUITE 422, Fort Worth, TX 76109
- Registration
- Investment adviser registration
- In the industry since
- July 2016
- Disciplinary history
- Not yet shown here · SEC record
Where does James Davis work?
James Davis has held the title Member at Aspen Wealth Management, LLC since May 2023.
Is James Davis a financial advisor?
Yes. James Davis has a current investment-adviser registration in Texas, through Aspen Wealth Management since July 2021.
How many years of experience does James Davis have?
James Davis has 10 years in the financial industry, since July 2016, across 4 adviser firms.
What exams has James Davis passed?
James Davis has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in September 2015. FINRA credited James Davis with the SIE, which began in October 2018.
Where did James Davis work before Aspen Wealth Management?
Before Aspen Wealth Management, James Davis was registered through Mills Wealth Advisors, LLC, April 2020 to June 2021; Fidelity Personal and Workplace Advisors, July 2018 to June 2019; Strategic Advisers LLC, March 2018 to July 2018.
Where is James Davis based?
James Davis’ registered office is in Fort Worth, TX.
Is James Davis registered with FINRA?
No. James Davis has no current broker registration.
How can I verify James Davis’ record?
Search CRD 6545250 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Davis’ full registration record.
