James Hadaway has been Chief Compliance Officer of Truepoint since January 2019, is not listed as a control person, but directly owns under 5% of the firm.
Truepoint, Inc. is a Cincinnati, OH firm with $6.39B under management, 1,934 clients and 37 advisers across 4 offices, as of its August 2026 filing.
- FTJ Fundchoice, LLC– · 3 yearsHebron, KY · Adviser representative · Firm CRD 125446
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 8 December 2014 |
| Series 53 | Municipal Securities Principal Examination | 18 February 2002 |
| Series 4 | Registered Options Principal Examination | 28 September 2000 |
| Series 24 | General Securities Principal Examination | 10 April 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 July 1998 |
| Series 7 | General Securities Representative Examination | 30 June 1998 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Russell Hadaway
- CRD
- 3070075
- Firm
- Truepoint · CRD 105664
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does James Hadaway work?
James Hadaway has been Chief Compliance Officer of Truepoint, Inc. since January 2019.
Does James Hadaway have a current investment-adviser registration?
James Hadaway has no current investment-adviser or broker registration.
What exams has James Hadaway passed?
James Hadaway has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 53 and Series 65. The earliest, the Series 7, was passed in June 1998.
Where was James Hadaway previously registered as an investment adviser?
James Hadaway has past investment-adviser registrations through FTJ Fundchoice, LLC, December 2014 to September 2018, across 1 firm.
Is James Hadaway registered with FINRA?
No. James Hadaway has no current broker registration.
How can I verify James Hadaway’s record?
Search CRD 3070075 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Hadaway’s full registration record.
