James Sherrard (CRD# 6056540) is an Investment Advisor Representative working at Richard P. Slaughter Associates, Inc. in Austin, TX and has over 11 years of experience in the finance industry. James Sherrard has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 4431657
Pbl Wealth Management
CRD# 5872877
Orchard Financial
CRD# 2827672
Merrill Lynch, Pierce, Fenner & Smith Incorporated
The CFP is the gold standard for financial professionals who perform comprehensive financial planning. CFPs must undergo rigorous exams and meet other requirements to obtain this designation.
The CFA is the gold standard for financial professionals who analyze securities. CFAs focus on portfolio construction and investment selection.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Richard P. Slaughter Associates, Inc. | Austin, TX | Jan 2023 - Current | 1 |
| Richard P. Slaughter Associates, Inc. | Austin, TX | Sep 2015 - Jan 2023 | 7 |
| Strategic Investment Management | Austin, TX | Jan 2012 - Dec 2017 | 5 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S65 | NASAA Investment Advisors Law Examination | May 2012 |
- NM
- TX
-
Total Assets Under Management797MILLIONS
-
Total Number of Accounts1,616ACCOUNTS
-
Average Account Value$493,050
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
CA, CO, NE, NM, TX
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