James Wheeler
James Wheeler is a registered investment advisor at James Wheeler & CO. Advisors, based in Centennial, CO, with 34 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 15 clients with $8M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
The annual fee may be negotiable and shall be based on the amount of assets under management.
Fee Estimator
Location
6901 S. Race Street, #101, Centennial, CO, 80122
Get directionsHistory
Regulatory History (5)
Regulatory
January 2004Customer Dispute
September 2003Regulatory
July 2003Regulatory
August 1997Regulatory
January 1997Other Business ActivitiesSells Insurance
James is the President/Owner of James Wheeler & Co. since 1993, spending minimal time on this. He is also an insurance agent for Select Quote and Personal Pension Corporation, selling Medicare supplements and annuities, dedicating about a quarter of his time to these activities.
Employment History
Current Registrations
James Wheeler & CO. Advisors
Previous Registrations
Change Path LLC
Richfield Orion International, INC.Broker
Professional Broker-Dealer Financial Planning, INC.Broker
1st Discount Brokerage, INC.
1st Discount Brokerage, INC.Broker
James Wheeler & CO. Investments, INC.Broker
U.S. Clearing CORP.Broker
Olde Discount CorporationBroker
Dain Bosworth IncorporatedBroker
Jesup & Lamont, IncorporatedBroker
Hanifen, Imhoff Securities CORP.Broker
Richfield Securities, INC.Broker
Multi-Financial Securities CorporationBroker
State Registrations1 state
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.