James Exley has been Manager and Chief Compliance Officer of Wealth Science Advisors since May 2022, is a control person of the firm and directly owns 75% or more of it.
Wealth Science Advisors LLC is an Alpharetta, GA firm with $559M under management, 273 clients and 8 advisers across 9 offices, as of its March 2026 filing.
James Exley’s longest registration is the current one, 4 years at Wealth Science Advisors since 2022. Before joining Wealth Science Advisors in 2022, James Exley was registered through Northwestern Mutual Wealth Management Company and Northwestern Mutual Investment Services,llc.
- Northwestern Mutual Wealth Management Company– · under a yearMilwaukee, WI · Adviser representative · Firm CRD 109729
- Northwestern Mutual Investment Services,llc– · 1 yearAlpharetta, GA · Adviser representative · Firm CRD 2881
Investment adviser representative registrations
James Exley is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from August 2022; the most recent is Florida, in May 2024.
- FloridaSince 18 May 2024
- GeorgiaSince 17 August 2022
- TexasResidentSince 16 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 28 July 2005 |
| Series 7 | General Securities Representative Examination | 29 July 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 January 2002 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 October 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James William Exley
- CRD
- 2766625
- Firm
- Wealth Science Advisors · CRD 321031
- Role
- Manager; Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- January 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does James Exley work?
James Exley has been Manager; Chief Compliance Officer of Wealth Science Advisors LLC since May 2022, and is a control person of the firm.
Is James Exley a financial advisor?
Yes. James Exley has a current investment-adviser registration in Florida, Georgia and Texas, through Wealth Science Advisors since August 2022.
How many years of experience does James Exley have?
James Exley has 29 years in the financial industry, since January 1997, across 3 adviser firms.
What exams has James Exley passed?
James Exley has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in October 1996. FINRA credited James Exley with the SIE, which began in October 2018.
Where did James Exley work before Wealth Science Advisors?
Before Wealth Science Advisors, James Exley was registered through Northwestern Mutual Wealth Management Company, February 2007 to April 2007; Northwestern Mutual Investment Services,llc, April 2005 to February 2007.
Is James Exley registered with FINRA?
No. James Exley has no current broker registration.
How can I verify James Exley’s record?
Search CRD 2766625 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Exley’s full registration record.