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RIA / WealthAdvisorChartered Financial Consultant23 years in industry

JAMES MERLE WEISS

Advisor at WEISS FINANCIAL GROUP, LLC

Johnston, IA

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Search this name across graphsid dfx:ria:3df417b6-313e-b84d-e725-abdb82185f97

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 25, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WEISS FINANCIAL GROUP, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 14, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Apr 14, 2003
First registration: Feb 25, 2005
Dual registered: no
IAPD individual key: 4505490

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WEISS FINANCIAL GROUP, LLC	State registered	Apr 10, 2019	n/a	yes	Johnston, IA	Current employment
MERKLE RETIREMENT PLANNING	Independent wealth	Aug 20, 2018	Apr 3, 2019	no	JOHNSTON, IA	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Dec 2, 2011	Aug 22, 2018	no	JOHNSTON, IA\|SARASOTA, FL\|JOHNSTON, IA	Previous registration
INVESTMENT ADVISORS CORP	Former SEC adviser	Aug 31, 2009	Dec 14, 2011	no	ANKENY, IA\|JOHNSTON, IA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Feb 25, 2005	Jul 7, 2008	no	DES MOINES, IA\|DES MOINES, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERKLE RETIREMENT PLANNING	WEISS FINANCIAL GROUP, LLC	Apr 3, 2019	Apr 10, 2019	7	Firm change	RIA to state RIA
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	MERKLE RETIREMENT PLANNING	Aug 22, 2018	Aug 20, 2018	-2	Firm change	Ibd to RIA
INVESTMENT ADVISORS CORP	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Dec 14, 2011	Dec 2, 2011	-12	Firm change	Other
PRINCIPAL SECURITIES, INC.	INVESTMENT ADVISORS CORP	Jul 7, 2008	Aug 31, 2009	420	Firm change after gap	Other

Relationships

Registered with (5)

→ WEISS FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Apr 10, 2019 to presentfactForm ADV
→ MERKLE RETIREMENT PLANNINGRegistered adviserregistration: previous registration
Aug 20, 2018 to Apr 3, 2019factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Dec 2, 2011 to Aug 22, 2018factForm ADV
→ INVESTMENT ADVISORS CORPRegistered adviserregistration: previous registration
Aug 31, 2009 to Dec 14, 2011factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Feb 25, 2005 to Jul 7, 2008factForm ADV

Dated events

No dated event names this entity yet.