James Tharin has been Owner, President, CCO of Emerald Asset Management since January 2015, is a control person of the firm and directly owns 75% or more of it. James Tharin holds a B.A. in Business Management from North Carolina State University.
Emerald Asset Management, Inc. is a Rocky Mount, NC firm with $121M under management, 170 clients and 2 advisers in one office, as of its March 2026 filing.
James Tharin is President and Chief Investment Officer of Emerald Asset Management, Inc., based in Rocky Mount, North Carolina. Before founding the firm in 2013, he served clients for 22 years at Wells Fargo Advisors, LLC and at A.G. Edwards & Sons, Inc., providing financial advice and managing investment portfolios. He has over 30 years of experience in fundamental and technical analysis of equity and fixed income securities.
James Tharin’s longest registration was 13 years at Wells Fargo Advisors, LLC (2000–2013). Before joining Emerald Asset Management in 2015, James Tharin was registered through Emerald Investment Partners, LLC and Wells Fargo Advisors, LLC.
- – present · 11 yearsRocky Mount, NC · Adviser representative · Firm CRD 174691
- Emerald Investment Partners, LLC– · 1 yearCary, NC · Adviser representative · Firm CRD 169584
- Wells Fargo Advisors, LLC– · 13 yearsRocky Mount, NC · Adviser representative · Firm CRD 19616
Professional designations
Listed by Emerald Asset Management
- Chartered Financial Analyst (CFA®)
Investment adviser representative registrations
James Tharin is registered as an investment adviser representative in 2 states. The first approvals date from January 2015; the most recent is Texas, in March 2025.
- North CarolinaSince 27 January 2015
- TexasSince 28 March 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 10 February 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 February 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 January 1992 |
| Series 7 | General Securities Representative Examination | 20 December 1991 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Blake Tharin
- CRD
- 2187988
- Firm
- Emerald Asset Management · CRD 174691
- Role
- Owner, President, CCO
- Office
- 2343 PROFESSIONAL DRIVE, SUITE B, Rocky Mount, NC 27804
- Registration
- Investment adviser registration
- In the industry since
- January 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- emeraldam.com
Where does James Tharin work?
James Tharin has been Owner, President, CCO of Emerald Asset Management, Inc. since January 2015, and is a control person of the firm.
Is James Tharin a financial advisor?
Yes. James Tharin has a current investment-adviser registration in North Carolina and Texas, through Emerald Asset Management since January 2015.
How many years of experience does James Tharin have?
James Tharin has 25 years in the financial industry, since January 2001, across 3 adviser firms.
What exams has James Tharin passed?
James Tharin has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in December 1991.
Where did James Tharin work before Emerald Asset Management?
Before Emerald Asset Management, James Tharin was registered through Wells Fargo Advisors, LLC, December 2000 to December 2013.
Where is James Tharin based?
James Tharin’s registered office is in Rocky Mount, NC.
Is James Tharin registered with FINRA?
No. James Tharin has no current broker registration.
Is James Tharin a CFA charterholder?
Emerald Asset Management lists James Tharin with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify James Tharin’s record?
Search CRD 2187988 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Tharin’s full registration record.