James Neuenschwander has been President of Outlook Wealth Advisors since May 2018, is a control person of the firm and directly owns between 25% and 50% of it.
Outlook Wealth Advisors, LLC is a The Woodlands, TX firm with $594M under management, 569 clients and 5 advisers across 7 offices, as of its March 2026 filing.
James Neuenschwander’s longest registration is the current one, 8 years at Outlook Wealth Advisors since 2018. Before joining Outlook Wealth Advisors in 2018, James Neuenschwander was registered through Global Financial Private Capital, LLC and Sanders Morris Harris Inc.
- Outlook Wealth Advisors, LLCCurrent– present · 8 yearsThe Woodlands, TX · Adviser representative · Firm CRD 291465
- Global Financial Private Capital, LLC– · 7 yearsShenandoah, TX · Adviser representative · Firm CRD 132070
- Sanders Morris Harris Inc.– · 5 yearsThe Woodlands, TX · Adviser representative · Firm CRD 20580
- SMH Capital Advisors, Inc.– · 1 yearHouston, TX · Adviser representative · Firm CRD 108344
- Miller-Green Financial Services, Inc– · 3 yearsHouston, TX · Adviser representative · Firm CRD 110949
Investment adviser representative registrations
James Neuenschwander is registered as an investment adviser representative in Texas, since June 2018.
- TexasSince 28 June 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 25 May 2006 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 September 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 May 1986 |
| Series 7 | General Securities Representative Examination | 17 May 1986 |
- Name
- Securities Industry Essentials 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 Allen Neuenschwander
- CRD
- 1507901
- Firm
- Outlook Wealth Advisors · CRD 291465
- Role
- President
- Office
- 224 ED ENGLISH DR., SUITE A, The Woodlands, TX 77385
- Registration
- Investment adviser registration
- In the industry since
- June 1986
- Disciplinary history
- Not yet shown here · SEC record
Where does James Neuenschwander work?
James Neuenschwander has been President of Outlook Wealth Advisors, LLC since May 2018, and is a control person of the firm.
Is James Neuenschwander a financial advisor?
Yes. James Neuenschwander has a current investment-adviser registration in Texas, through Outlook Wealth Advisors since June 2018.
How many years of experience does James Neuenschwander have?
James Neuenschwander has 40 years in the financial industry, since June 1986, across 5 adviser firms.
What exams has James Neuenschwander passed?
James Neuenschwander has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 24. The earliest, the Series 7, was passed in May 1986. FINRA credited James Neuenschwander with the SIE, which began in October 2018.
Where did James Neuenschwander work before Outlook Wealth Advisors?
Before Outlook Wealth Advisors, James Neuenschwander was registered through Sanders Morris Harris Inc., July 2006 to September 2011; SMH Capital Advisors, Inc., November 2005 to December 2006; Miller-Green Financial Services, Inc, January 2003 to May 2006.
Where is James Neuenschwander based?
James Neuenschwander’s registered office is in The Woodlands, TX.
Is James Neuenschwander registered with FINRA?
No. James Neuenschwander has no current broker registration.
How can I verify James Neuenschwander’s record?
Search CRD 1507901 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Neuenschwander’s full registration record.