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James Oxley Herlocker

Oxley Wealth Management, LLC

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About James Oxley Herlocker

James Herlocker has been providing financial services to clients since 1978. James is a CERTIFIED FINANCIAL PLANNER™ professional who has been serving clients in Cottonwood Heights, UT. James currently works with Oxley Wealth Management, LLC, which offers a range of services including financial planning, investment advisory services, and portfolio management. Before joining Oxley Wealth Management, LLC, James was affiliated with WADDELL & REED, INC., and CETERA ADVISOR NETWORKS LLC. James also holds licenses in several states, including Utah, Arizona, California, Idaho, Illinois, and Indiana.

Firm Information

James Herlocker is currently registered with Oxley Wealth Management, LLC. Oxley Wealth Management, LLC is a registered investment advisor based in [Main Office Location]. The firm has 1 licensed agent and 2 investment advisor representatives. Oxley Wealth Management, LLC primarily manages portfolios for individuals, including high-net-worth individuals, and has $12,331,000 in regulatory assets under management. The firm offers financial planning and portfolio management services. They also select other advisors for clients.

$12.33M

Assets Under Management

Not reported

Total Clients

2

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Herlocker’s Registration & Firm History

UT

01/03/2019 - Present

Oxley Wealth Management, LLC (COTTONWOOD HEIGHTS UT)

UT

03/13/1987 - 12/31/2018

CETERA ADVISOR NETWORKS LLC (COTTONWOOD HEIGHTS UT)

NA

10/23/1978 - 03/20/1987

WADDELL & REED, INC.

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Licenses & Designations

BC

Issued 12/01/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/13/1997

Series 7 - General Securities Representative Examination

BC

Issued 10/16/1978

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Oxley Herlocker.
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