James Nocerino
James Nocerino is a registered investment advisor at Osaic Institutions, INC., based in Meriden, CT, with 42 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
538 Preston Avenue, Meriden, CT, 06450-4858
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James receives trails/renewals from various life insurance companies. He also engages in property and casualty sales and service, dedicating minimal time to it, and owns JJN Wealth Management, LLC, where he advises on financial matters and sells annuities and life insurance, taking up nearly all of his time.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
Harvest Capital LLCBroker
Harvest Capital Advisors, LLC
Cambridge Investment Research, INC.Broker
Harvest Capital Advisors, LLC
Harvest Capital LLCBroker
Commonwealth Financial NetworkBroker
Aetna Investment Services, INC.Broker
Aetna Life Insurance and Annuity CompanyBroker
State Registrations2 states
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.