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Inactive

James Michael Heflin

Yes Wealth Management

Mahtomedi, MN

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Current Employers
Yes Wealth Management

86 Mahtomedi Avenue, Mahtomedi, MN 55115 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-09-20
MN RA APPROVED 2016-02-22
  • TX RA
    APPROVED_RES
    Since 2019-09-20
  • MN RA
    APPROVED
    Since 2016-02-22

Branch Locations

86 Mahtomedi Avenue, Mahtomedi, MN 55115 • 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
S Capital Wealth Advisors, Llc Mahtomedi MN 02/2016 Present
  • 02/2016 → Present
    S Capital Wealth Advisors, Llc
    Mahtomedi, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-27
  • S65 Uniform Investment Adviser Law Examination
    2016-01-27
Other Names
  • Jay Heflin

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC
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J. W. COLE ADVISORS, INC.
THOMPSON FINANCIAL TRANSITIONS INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

Amy J Wild
Andrew Meier
Benjamin Joseph Johnson
SARAH LOUISE JOHNSON
Anthony Robert Zajac
JESSE ROBERT JOHNSON
Justin Wolf
Mathias C Beck

Other Offices

EDWARD JONES · Mahtomedi, MN
GREAT VALLEY ADVISOR GROUP, LLC · Mahtomedi, MN
EDWARD JONES · WHITE BEAR LAKE, MN
STATE FARM INVESTMENT MANAGEMENT CORP. · White Bear Lake, MN
GREAT VALLEY ADVISOR GROUP, LLC · Mahtomedi, MN
AMERIPRISE FINANCIAL SERVICES, LLC · Mahtomedi, MN
THRIVENT INVESTMENT MANAGEMENT INC. · Willernie, MN
STATE FARM INVESTMENT MANAGEMENT CORP. · Saint Paul, MN

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