Unclaimed Profile

James Wesley Havens

LATHROP INVESTMENT MANAGEMENT CORP·LITTLE ROCK, Arkansas

Series 65Clean record24 years registeredLATHROP INVESTMENT MANAGEMENT CORP

500 PLEASANT VALLEY DRIVE, LITTLE ROCK, AR 72227CRD# 4527207Firm CRD# 108327

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Wesley Havens · LITTLE ROCK, AR

Registration

CRD #4527207 · LATHROP INVESTMENT MANAGEMENT CORP · 24 years registered

Brand Profile

Not yet started

Career History

LATHROP INVESTMENT MANAGEMENT COMPANY

Apr 2025 – present

LATHROP INVESTMENT MANAGEMENT CORP

Jan 2002 – Apr 2025

LITTLE ROCK, AR

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · January 1, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

LATHROP INVESTMENT MANAGEMENT CORP

CRD 108327 · SEC 801-16128

AUM

$868M

Regulatory assets under management

Employees

841 client accounts

Services offered by LATHROP INVESTMENT MANAGEMENT CORP

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at LATHROP INVESTMENT MANAGEMENT CORP →

Introduction

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Frequently Asked Questions

What services does James Wesley Havens offer?

James Wesley Havens specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LITTLE ROCK, Arkansas for a consultation.

What are James Wesley Havens's credentials?

James Wesley Havens is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Wesley Havens located?

James Wesley Havens is based in LITTLE ROCK, Arkansas, working with LATHROP INVESTMENT MANAGEMENT CORP. Their office serves clients in the LITTLE ROCK metropolitan area and surrounding communities.

How does James Wesley Havens charge for services?

James Wesley Havens's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LATHROP INVESTMENT MANAGEMENT CORP?

LATHROP INVESTMENT MANAGEMENT CORP has approximately 6 employees and manages $868M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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