Chief Investment Officer · Financial Management, Inc.
James J. Stockton
CRD 5087149 · Named on Form ADV at one SEC-registered adviser
At a glance
Financial Management, Inc., an SEC-registered asset manager based in Little Rock, AR with $224 million in regulatory assets, lists James J. Stockton on its Form ADV as Chief Investment Officer, a control person.
Firms and roles
- Financial Management, Inc.Chief Investment OfficerAsset manager · Little Rock, AR · $224M in regulatory assets
AtlasMembers
James’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2026
- Designations
- Chartered Financial Analyst
- Exams
- Series 63
- Registered in
- 1 state
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Harold F. GrubbsPresident, Financial Management, Inc.
- Jessica L. WallaceChief Compliance Officer/vice President/chief Operating Officer, Financial Management, Inc.
- Timothy A. CoonChief Financial Officer, Financial Management, Inc.
- Joseph M. PerroneChief Investment Officer, Financial Management, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.