James Moore Whaley

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-01-19

TX RA
APPROVED

Since 2024-01-19

Branch Locations

Houston, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Whaley Insurance Brokerage Services	Houston	TX	07/1990	Present
Questar Capital Corporation	Minneapolis	MN	12/2006	03/2019
Questar Asset Management	Minneapolis	MN	10/2007	03/2019
Woodbury Financial Services, Inc.	Houston	TX	03/2019	01/2024
Osaic Wealth, Inc.	Houston	TX	01/2024	Present

07/1990 → Present

Whaley Insurance Brokerage Services

Houston, TX
12/2006 → 03/2019

Questar Capital Corporation

Minneapolis, MN
10/2007 → 03/2019

Questar Asset Management

Minneapolis, MN
03/2019 → 01/2024

Woodbury Financial Services, Inc.

Houston, TX
01/2024 → Present

Osaic Wealth, Inc.

Houston, TX

Previous Registrations

2019-03-01 → 2024-01-19

Woodbury Financial Services, Inc.

Houston, TX
2007-10-22 → 2019-03-01

Questar Asset Management, Inc.

Houston, TX

Houston, TX
2016-07-22 → 2016-09-06

Osaic Services, Inc.

Houston, TX

Houston, TX

Houston, TX

Other Businesses

1. RENTAL PROPERTIES. POSITION: Landlord. NATURE: Rentals: 1) condominium in Galveston TX and 2) farm in Estelline TX. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2003 ADDRESS: 10111 Sugar Hill Drive, Houston TX 77042, United States DESCRIPTION: collects rents, pay taxes. 2. RENTAL PROPERTIES POSITION: president NATURE: one agricultural and one condominium rental INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: 10111 Sugar Hill Drive, Houston TX 77042, United States DESCRIPTION: interact with farmers and rental agencies 3. JAMES M WHALEY JR. POSITION: President NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2019 ADDRESS: 10111 Sugar Hill Drive, Houston TX 77042, United States DESCRIPTION: life insurance sales 4. JAMES M WHALEY CHILDS TRUST POSITION: Trustee NATURE: Trust INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 03/03/2009 ADDRESS: 10111 Sugar Hill Drive, Houston TX 77042, United States DESCRIPTION: Landlord for four agricultural and one commercial properties. Investment manager for trust investments at TD Ameritrade.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-12-17
S63	Uniform Securities Agent State Law Examination	1993-04-12

S66 Uniform Combined State Law Examination

2002-12-17
S63 Uniform Securities Agent State Law Examination

1993-04-12

Designations

View on SEC IAPD