James Ferrin has been an investment adviser representative at Asset One Wealth Management since February 2026, and is not listed among the firm’s executive officers or direct owners.
Asset One Wealth Management, LLC is a Bellevue, WA firm with $983M under management, 1,173 clients and 9 advisers across 9 offices, as of its October 2026 filing.
James Ferrin’s longest registration was 14 years at FSC Securities Corporation (1997–2012). Before joining Asset One Wealth Management in 2026, James Ferrin was registered through LPL Financial LLC and Triad Advisors, LLC.
- – present · under a yearDraper, UT · Adviser representative · Firm CRD 336350
- LPL Financial LLC– · 6 yearsHighland, UT · Adviser representative · Firm CRD 6413
- Triad Advisors, LLC– · 7 yearsPleasant Grove, UT · Adviser representative · Firm CRD 25803
- FSC Securities Corporation– · 14 yearsPleasant Grove, UT · Adviser representative · Firm CRD 7461
Investment adviser representative registrations
James Ferrin is registered as an investment adviser representative in Utah, since February 2026.
- UtahSince 10 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 30 | NFA Branch Manager Examination | 3 October 2015 |
| Series 3 | National Commodity Futures Examination | 21 September 2015 |
| Series 24 | General Securities Principal Examination | 1 December 1993 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 September 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 February 1982 |
| Series 7 | General Securities Representative Examination | 20 February 1982 |
- Name
- Securities Industry Essentials Examination
- Name
- NFA Branch Manager Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Andrew Ferrin
- CRD
- 1032934
- Firm
- Asset One Wealth Management · CRD 336350
- Office
- Draper, UT
- Registration
- Investment adviser registration
- In the industry since
- November 1983
- Disciplinary history
- Not yet shown here · SEC record
Where does James Ferrin work?
James Ferrin is an investment adviser representative registered through Asset One Wealth Management, LLC since February 2026, and is not listed among the firm’s executive officers or direct owners.
Is James Ferrin a financial advisor?
Yes. James Ferrin has a current investment-adviser registration in Utah, through Asset One Wealth Management since February 2026.
How many years of experience does James Ferrin have?
James Ferrin has 42 years in the financial industry, since November 1983, across 4 adviser firms.
What exams has James Ferrin passed?
James Ferrin has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 3 and Series 30. The earliest, the Series 7, was passed in February 1982. FINRA credited James Ferrin with the SIE, which began in October 2018.
Where did James Ferrin work before Asset One Wealth Management?
Before Asset One Wealth Management, James Ferrin was registered through Triad Advisors, LLC, March 2012 to December 2019; FSC Securities Corporation, August 1997 to April 2012.
Where is James Ferrin based?
James Ferrin’s registered office is in Draper, UT.
Is James Ferrin registered with FINRA?
No. James Ferrin has no current broker registration.
How can I verify James Ferrin’s record?
Search CRD 1032934 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Ferrin’s full registration record.