James Ferrin has been an investment adviser representative at Asset One Wealth Management since November 2025, 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 2 years at LPL Financial LLC (2020–2023). Before joining Asset One Wealth Management in 2025, James Ferrin was registered through LPL Financial LLC and Shilanski & Associates, Inc.
- – present · under a yearDraper, UT · Adviser representative · Firm CRD 336350
- LPL Financial LLC– · under a yearPleasant Grove, UT · Adviser representative · Firm CRD 6413
- Shilanski & Associates, Inc.– · 1 yearAnchorage, AK · Adviser representative · Firm CRD 116431
- LPL Financial LLC– · 2 yearsPleasant Grove, UT · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
James Ferrin is registered as an investment adviser representative in Utah, since November 2025.
- UtahSince 12 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 3 August 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 18 June 2014 |
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Full name
- James Thomas Ferrin
- CRD
- 5829443
- Firm
- Asset One Wealth Management · CRD 336350
- Office
- 12459 S300 E, #102, Draper, UT 84020
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2015
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Ferrin work?
James Ferrin is an investment adviser representative registered through Asset One Wealth Management, LLC since November 2025, 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 November 2025.
How many years of experience does James Ferrin have?
James Ferrin has 11 years in the financial industry, since January 2015, across 3 adviser firms.
What exams has James Ferrin passed?
James Ferrin has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2014. 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 LPL Financial LLC, October 2024 to October 2025; Shilanski & Associates, Inc., February 2023 to September 2024; LPL Financial LLC, August 2020 to February 2023.
Where is James Ferrin based?
James Ferrin’s registered office is in Draper, UT.
Is James Ferrin registered with FINRA?
Yes. James Ferrin has a current broker registration, under CRD 5829443.
Source: FINRA BrokerCheck
How can I verify James Ferrin’s record?
Search CRD 5829443 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Ferrin’s full registration record.