James Krause has been Chief Compliance Officer of Wealthcare Advisory Partners since April 2021, is a control person of the firm and directly owns under 5% of it. James Krause holds an MBA from Pennsylvania State University.
Wealthcare Advisory Partners LLC is a West Chester, PA firm with $8.29B under management, 10,948 clients and 173 advisers across 70 offices, as of its August 2026 filing.
Jim Krause is Chief Compliance Officer for Wealthcare Capital Management, responsible for overseeing compliance within the organization and ensuring compliance with federal securities laws, SEC regulatory requirements, and firm policies and procedures. He has over 20 years of experience in broker-dealer and registered investment advisor supervision, compliance, risk management and operations. Most recently he was a senior member of a broker-dealer and registered investment advisor, responsible for the oversight of supervision, advertising review and surveillance.
James Krause’s longest registration is the current one, 5 years at Wealthcare Advisory Partners since 2021. Before joining Wealthcare Advisory Partners in 2021, James Krause was registered through Hornor, Townsend & Kent, LLC and LPL Financial LLC.
- LPL Financial LLCAlso current– present · 5 yearsWest Chester, PA · Adviser representative and broker · Firm CRD 6413
- – present · 5 yearsWest Chester, PA · Adviser representative · Firm CRD 171976
- Hornor, Townsend & Kent, LLC– · 4 yearsHorsham, PA · Adviser representative · Firm CRD 4031
- LPL Financial LLC– · 4 yearsCharlotte, NC · Adviser representative · Firm CRD 6413
- Advisornet Financial– · under a yearConshohocken, PA · Adviser representative · Firm CRD 113074
- Financial Network Investment Corporation– · 4 yearsKing of Prussia, PA · Adviser representative · Firm CRD 13572
Investment adviser representative registrations
James Krause is registered as an investment adviser representative in Pennsylvania, since April 2021.
- PennsylvaniaSince 28 April 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 30 December 2011 |
| Series 66 | Uniform Combined State Law Examination | 1 August 2008 |
| Series 51 | Municipal Fund Securities Principal Examination | 28 December 2005 |
| Series 24 | General Securities Principal Examination | 21 January 2004 |
| Series 7 | General Securities Representative Examination | 12 December 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 April 2000 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 28 March 2000 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Joseph Krause
- CRD
- 4143726
- Firm
- Wealthcare Advisory Partners · CRD 171976
- Role
- Chief Compliance Officer
- Office
- 1065 ANDREW DRIVE, West Chester, PA 19380
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- wealthcaregdx.com
Where does James Krause work?
James Krause has been Chief Compliance Officer of Wealthcare Advisory Partners LLC since April 2021, and is a control person of the firm.
Is James Krause a financial advisor?
Yes. James Krause has a current investment-adviser registration in Pennsylvania, through Wealthcare Advisory Partners since April 2021.
How many years of experience does James Krause have?
James Krause has 26 years in the financial industry, since July 2000, across 5 adviser firms.
What exams has James Krause passed?
James Krause has passed 8 licensing exams: the Series 6, Series 63, Series 7, Series 24, Series 51, Series 66, Series 53 and Series 52TO. The earliest, the Series 6, was passed in March 2000. FINRA credited James Krause with the SIE, which began in October 2018.
Where did James Krause work before Wealthcare Advisory Partners?
Before Wealthcare Advisory Partners, James Krause was registered through Hornor, Townsend & Kent, LLC, December 2016 to March 2021; LPL Financial LLC, September 2012 to October 2016; Advisornet Financial, August 2009 to July 2010; Financial Network Investment Corporation, August 2008 to September 2012.
Where is James Krause based?
James Krause’s registered office is in West Chester, PA.
Is James Krause registered with FINRA?
Yes. James Krause has a current broker registration, under CRD 4143726.
Source: FINRA BrokerCheck
How can I verify James Krause’s record?
Search CRD 4143726 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Krause’s full registration record.
