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James Wesner

Partner at Marquette Associates

No current adviser or broker registrationSEC record checked 17 October 2026

1
Past adviser firms
2
Licensing exams

IAPD record retrieved 17 October 2026SEC record

James Wesner is Partner of Marquette Associates, Inc., a Chicago investment adviser managing $47.1B. James Wesner has past investment-adviser registrations through 1 firm and has passed the Series 7 and Series 63.

Role at Marquette Associates

Title on Schedule A
Partner
Control
James Wesner is not a control person of Marquette Associates.
Ownership
The filed direct ownership band is 5% to 10%.
Tenure
James Wesner has held the filed role since January 2014.

The firm

Marquette Associates, Inc.
Chicago, IL

Form ADV filed 15 May 2026

$47.1B AUM348 clients64 advisers5 offices

Career on record

Firms and exams, newest first
  1. Marquette Associates, Inc.
    – · 5 years
    Chicago, IL · Adviser representative · Firm CRD 21572
  2. Passed Series 63 · 2005
  3. Passed Series 7 · 2002

Registrations and exams

No current adviser or broker registration. James Wesner has passed 2 qualifying exams.

Examinations

Series 6329 December 2005
Name
Uniform Securities Agent State Law Examination
Series 74 September 2002
Name
General Securities Representative Examination

Individual record

Full name
James R Wesner
CRD
4492480
Firm
Marquette Associates, Inc.
Registration status
No current adviser or broker registration
Firm bio
marquetteassociates.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

James R. Wesner is a Marquette Associates partner. Before Marquette, he worked in debt capital markets at Banc of America Securities and held positions at Nuveen Investments and PricewaterhouseCoopers. Official firm biography page

Education

  • He holds a B.B.A. in finance from the University of Notre Dame and an M.B.A. in finance and international business from Northwestern University’s Kellogg School of Management.Official firm biography page

Common questions

Where does James Wesner work?

James Wesner has been Partner of Marquette Associates, Inc. since January 2014.

Source: Form ADV, Schedule A, filed 15 May 2026

Does James Wesner have a current investment-adviser registration?

James Wesner has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has James Wesner passed?

James Wesner has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in September 2002.

Source: IAPD individual record, checked 17 October 2026

Where was James Wesner previously registered as an investment adviser?

James Wesner has past investment-adviser registrations through Marquette Associates, Inc., May 2020 to July 2025, across 1 firm.

Source: IAPD individual record, checked 17 October 2026

Leadership at Marquette Associates

Sources

  1. IAPD individual record, CRD 4492480. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Marquette Associates, Inc., filed 15 May 2026. Title, control and ownership bands.
  3. Marquette Associates team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Wesner or Marquette Associates, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.