James Spangler has been Chief Operating Officer of TradeWinds Asset Management since December 2022, is a control person of the firm and directly owns under 5% of it.
Tradewinds Asset Management, LLC is a Portland, OR firm with $135M under management, 261 clients and 4 advisers across 2 offices, as of its September 2026 filing.
Paul Spangler is Wealth Advisor, Partner of TradeWinds, based in Portland, Oregon. He runs firm operations and advises clients, with planning work that spans retirement income, tax strategy and estate coordination. He worked in human resources before moving into financial services.
James Spangler’s longest registration is the current one, 3 years at TradeWinds Asset Management since 2023. Before joining TradeWinds Asset Management in 2023, James Spangler was registered through Financial Advocates Investment Management.
- Tradewinds Wealth ManagementCurrent– present · 3 yearsPortland, OR · Adviser representative · Firm CRD 323879
- Financial Advocates Investment Management– · 2 yearsPortland, OR · Adviser representative · Firm CRD 151298
Professional designations
Listed by TradeWinds Asset Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
James Spangler is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from March 2023; the most recent is Texas, in June 2025.
- OregonSince 9 March 2023
- TexasResidentSince 3 June 2025
- WashingtonSince 30 November 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 11 June 2020 |
| Series 7TO | General Securities Representative Examination | 16 May 2020 |
| SIE | Securities Industry Essentials Examination | 12 May 2020 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- James Paul Spangler
- CRD
- 7237397
- Firm
- TradeWinds Asset Management · CRD 323879
- Role
- Chief Operating Officer
- Office
- 5550 S MACADAM AVE, STE 110, Portland, OR 97239
- Registration
- Investment adviser registration
- In the industry since
- May 2020
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- tradewindswm.com
Where does James Spangler work?
James Spangler has been Chief Operating Officer of Tradewinds Asset Management, LLC since December 2022, and is a control person of the firm.
Is James Spangler a financial advisor?
Yes. James Spangler has a current investment-adviser registration in Oregon, Texas and Washington, through TradeWinds Asset Management since March 2023.
How many years of experience does James Spangler have?
James Spangler has 6 years in the financial industry, since May 2020, across 2 adviser firms.
What exams has James Spangler passed?
James Spangler has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in May 2020.
Where did James Spangler work before TradeWinds Asset Management?
Before TradeWinds Asset Management, James Spangler was registered through Financial Advocates Investment Management, July 2020 to March 2023.
Where is James Spangler based?
James Spangler’s registered office is in Portland, OR.
Is James Spangler registered with FINRA?
No. James Spangler has no current broker registration.
Is James Spangler a CFP?
TradeWinds Asset Management lists James Spangler with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify James Spangler’s record?
Search CRD 7237397 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Spangler’s full registration record.