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James Cronin

Kestra Advisory Services, LLC
29 Years of Experience
Waukesha, WI
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Cronin is a CFA-designated registered investment advisor at Kestra Advisory Services, LLC, based in Waukesha, WI, with 29 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1456 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

20975 Swenson Drive, Ste #225, Waukesha, WI, 53186

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

James is the Chief Investment Officer at Integrity Wealth Management, spending nearly full-time establishing and monitoring investment policy, managing investment lists, and client portfolios. He also works as an Investment Advisor Representative at Kestra Advisory Services, LLC, providing investment advisory services and dedicating nearly full-time hours to this role as well.

Employment History
Current Registrations
Kestra Advisory Services, LLC
April 2016 - Present · 10 yrs 6 mos
Kestra Investment Services, LLC
December 2015 - Present · 10 yrs 10 mos
Kestra Investment Services, LLCBroker
December 2015 - Present · 10 yrs 10 mos
Previous Registrations
NFP Advisor Services, LLC
December 2015 - September 2016 · 9 mos
Investors Capital Advisory
August 2009 - December 2015 · 6 yrs 4 mos
Investors Capital CORP.Broker
March 2009 - December 2015 · 6 yrs 9 mos
UBS Financial Services INC.Broker
July 1997 - March 2009 · 11 yrs 8 mos
State Registrations9 states
COCTFLNCNJNYPAVAWI
AdvisorBrokerBoth

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.
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