Investment Advisor
in Austin, TX

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About this Advisor

James Sadek is an advisor located in Austin, Texas. Currently a registered investment advisor with Spc, they have accrued 10 years of work experience in the financial advisory industry. Sadek has a Series 66 license, certifying them as both a securities agent and an investment advisor representative. Sadek can operate based out of Texas. During their career, Sadek has held roles at Swbc Investment Services, Merrill Lynch, Pierce, Fenner & Smith Inc, Swbc Investment Services, LLC, Bank Of America, N.A, Spc, Sigma Financial Corporation and Upstream Investment Partners. Spc is located in Austin, Texas, and operates out of 464 additional locations in the country. Overall, Spc oversees $5 billion in assets covering 25,865 accounts and employs more than 705 people. The level of assets currently under the firm's management places it among the largest firms in the nation. The firm manages 25,860 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 9% of the investment firm's customers are high-net-worth individuals, meaning they have greater than $1 million in investable assets. Spc provides financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. The firm's fees may include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 66

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others



Office Location

8834 North Capital Of Texas Highway Suite 220
Austin, TX 78759

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Spc Brokerage Details

Total Assets Under Management


TX Average: $943,424,332
Total Number of Employees


TX Average: 21
Total Number of Accounts


TX Average: 1,586
Average Account Size


TX Average: $594,845

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

James Sadek Work History

James has 10 years of experience.

2014 - Present (8 years)


2014 - Present (8 years)

Sigma Financial Corporation

2014 - Present (8 years)

Upstream Investment Partners

2011 - 2014 (3 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2011 - 2014 (3 years)

Bank Of America, N.A

2010 - 2011 (1 year)

Swbc Investment Services

2010 - 2011 (1 year)

Swbc Investment Services, LLC


James Sadek has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Spc

Scott Findeisen
Westerly, RI
Joseph Warsecke
Plymouth, MI
Dean Bell
Utica, MI
Blake Smith
Ottumwa, IA
Andrew Grimston
Allen Park, MI
Thomas Schalk
Gainesville, TX
Bonnie Luternow
Clarkston, MI
Marvin Boxdorfer
Greenwood, IN

The content in this profile was updated on 08/06/2020, using data compiled from the SEC and FINRA.

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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