JH
JH
James Hayett
43 Years of Experience
Waukesha, WI
3 Disclosures
James Hayett is a registered investment advisor at Morgan-Aly Wealth Management, LLC, based in Waukesha, WI, with 43 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 157 clients with $110M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
157 clients
Average Client Portfolio
$670K average
Assets Under Management
$105.3M
Fee Structure
Minimum Investment:$250K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $1000K | 1.15% |
| $1.0M - $2.0M | 1.00% |
| $2M+ | 1.00% |
Fees negotiable for accounts over $2,000,000.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
N4W22370 Bluemound Rd, Suite 204, Waukesha, WI, 53186
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
May 1990Customer Dispute
February 1990Settled
Customer Dispute
May 1989Settled
Employment History
Current Registrations
Morgan-Aly Wealth Management, LLC
December 2023 - Present · 2 yrs 5 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
December 2014 - December 2023 · 9 yrs
Raymond James Financial Services, INC.Broker
December 2014 - December 2023 · 9 yrs
Next Financial Group, INC.Broker
March 2008 - December 2014 · 6 yrs 9 mos
Next Financial Group, INC.
March 2008 - December 2014 · 6 yrs 9 mos
Aig Financial Advisors, INC.Broker
October 2005 - April 2008 · 2 yrs 6 mos
Aig Financial Advisors, INC.
October 2005 - April 2008 · 2 yrs 6 mos
Sentra Securities CORP
April 2003 - October 2005 · 2 yrs 6 mos
Sentra Securities CorporationBroker
September 2001 - October 2005 · 4 yrs 1 mo
Sii Investments, INC.Broker
March 1997 - September 2001 · 4 yrs 6 mos
Wellington Investment Services CORP.Broker
October 1991 - March 1997 · 5 yrs 5 mos
Frederick & Company, INC.Broker
July 1991 - September 1991 · 2 mos
Hamilton Investments, INC.Broker
July 1990 - July 1991 · 1 yr
Blunt Ellis & Loewi IncorporatedBroker
March 1984 - June 1990 · 6 yrs 3 mos
Pruco Securities CorporationBroker
February 1982 - March 1984 · 2 yrs 1 mo
The Prudential Insurance Company of AmericaBroker
February 1982 - March 1984 · 2 yrs 1 mo
State Registrations4 states
FLMNTXWI
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.