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James C Wiley

Fisher Investments

Plano, TX

Morgan, UT

CRD 4515000

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Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • PORTFOLIO ASSESSMENT

From the firm’s Form ADV. Read the guides:

Current Employers
Fisher Investments

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-12-13
NV RA APPROVED 2022-01-31
UT RA APPROVED 2021-12-14
  • TX RA
    APPROVED_RES
    Since 2022-12-13
  • NV RA
    APPROVED
    Since 2022-01-31
  • UT RA
    APPROVED
    Since 2021-12-14

Branch Locations

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Morgan, UT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fisher Investments Morgan UT 01/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-01
S63 Uniform Securities Agent State Law Examination 2003-11-12
  • S65 Uniform Investment Adviser Law Examination
    2011-03-01
  • S63 Uniform Securities Agent State Law Examination
    2003-11-12
Other Names
  • James Christopher Wiley

View on SEC IAPD

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