James Harrold is a registered investment advisor at Cetera Investment Advisers LLC, based in Clinton, IL, with 38 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
100 S Center St, Suite 102, Clinton, IL, 61727
Get directionsHistory
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 Activities
James operates Harrold Financial Consulting as a sole proprietor, which is a DBA for investment-related activities. This takes up about half of James's time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Financial Specialists LLCBroker
Previous Registrations
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
Dreher & Associates, INC.Broker
Dreher & Associates, INC.Broker
First Investors CorporationBroker
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.