James Eckley has been an investment adviser representative at Hardworking Capital Advisors since June 2017, and is not listed among the firm’s executive officers or direct owners.
Hardworking Capital Advisors, LLC is a Palm Desert, CA firm with $206M under management, 284 clients and 2 advisers across 3 offices, as of its March 2026 filing.
James Eckley’s longest registration is the current one, 9 years at Hardworking Capital Advisors since 2017. Before joining Hardworking Capital Advisors in 2017, James Eckley was registered through Kipp Financial Group, Inc.
- – present · 9 yearsOxnard, CA · Adviser representative · Firm CRD 226760
- Kipp Financial Group, Inc.– · 7 yearsVentura, CA · Adviser representative · Firm CRD 108811
Investment adviser representative registrations
James Eckley is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from June 2017; the most recent is Texas, in October 2019.
- CaliforniaSince 15 June 2017
- TexasResidentSince 3 October 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 62 | Corporate Securities Limited Representative Examination | 21 October 2014 |
| Series 22 | Direct Participation Programs Representative Examination | 25 February 2014 |
| Series 65 | Uniform Investment Adviser Law Examination | 29 December 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 August 2008 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 20 September 1988 |
- Name
- Securities Industry Essentials Examination
- Name
- Corporate Securities Limited Representative Examination
- Name
- Direct Participation Programs Representative 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 Edward Eckley
- CRD
- 1873621
- Firm
- Hardworking Capital Advisors · CRD 226760
- Office
- 2775 North Ventura Road, Suite 207, Oxnard, CA 93036
- Registration
- Investment adviser registration
- In the industry since
- July 1992
- Disciplinary history
- Not yet shown here · SEC record
Where does James Eckley work?
James Eckley is an investment adviser representative registered through Hardworking Capital Advisors, LLC since June 2017, and is not listed among the firm’s executive officers or direct owners.
Is James Eckley a financial advisor?
Yes. James Eckley has a current investment-adviser registration in California and Texas, through Hardworking Capital Advisors since June 2017.
How many years of experience does James Eckley have?
James Eckley has 34 years in the financial industry, since July 1992, across 2 adviser firms.
What exams has James Eckley passed?
James Eckley has passed 5 licensing exams: the Series 6, Series 63, Series 65, Series 22 and Series 62. The earliest, the Series 6, was passed in September 1988. FINRA credited James Eckley with the SIE, which began in October 2018.
Where is James Eckley based?
James Eckley’s registered office is in Oxnard, CA.
Is James Eckley registered with FINRA?
No. James Eckley has no current broker registration.
How can I verify James Eckley’s record?
Search CRD 1873621 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Eckley’s full registration record.