DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
James Phillip Wayne Carr
Certified Financial Planner
Feed of 09/14/2026
Also filed as James Phillip Wayne Carr
At current firm
1 y
since Mar 31, 2025
In the industry
14 y
since Sep 26, 2011 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Mounds, Ok
- Fidelity Personal And Workplace Advisors formerJul 20, 2020 to Mar 31, 2025 · Tulsa, Ok
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 30, 2020 to Jun 12, 2020 · Tulsa, Ok
- Bok Financial Advisors BD affiliatedAug 22, 2014 to Nov 21, 2019 · Tulsa, Ok
- Ameriprise Financial Services, LLC national BDApr 26, 2013 to Sep 5, 2014 · Tulsa, Ok
- Avantax Advisory Services formerOct 14, 2011 to Apr 29, 2013 · Sapulpa, Ok
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Fidelity Personal And Workplace Advisorsleft Jun 12, 2020, registered Jul 20, 2020 (38 days) · Wirehouse to affiliated broker-dealer or bank
- Bok Financial Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Nov 21, 2019, registered Apr 30, 2020 (161 days) · Affiliated broker-dealer or bank to wirehouse
- Ameriprise Financial Services, LLC to Bok Financial Advisorsleft Sep 5, 2014, registered Aug 22, 2014 (-14 days) · Other
- Avantax Advisory Services to Ameriprise Financial Services, LLCleft Apr 29, 2013, registered Apr 26, 2013 (-3 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address