James Clancy
James Clancy is a registered investment advisor at Osaic Institutions, INC., based in Mystic, CT, with 39 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
2 Water Street, Mystic, CT, 06355
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Regulatory History (2)
Financial
July 2019Regulatory
December 1995Other Business Activities
James operates Webster Investments as a DBA for his LPL business since 2019.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
Infinex Investments, INC.
Infinex Investments, INC.Broker
Ing Investment Management CO. LLC
Ing Investments Distributor, LLCBroker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Citigroup Global Markets INC.Broker
Performance Specialist Group LLCBroker
Kellogg Specialist Group LLCBroker
Performance Specialist Group, LLCBroker
Fleet Specialist, INC.Broker
Fleet Securities, INC.Broker
Quick & Reilly, INC.Broker
Stokes, Hoyt & CO.Broker
State Registrations11 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.