James Joly
James Joly is a registered investment advisor at Park Avenue Securities LLC, based in Cranston, RI, 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 Business Owners, Financial Planning & Coaching, Retirement Planning. Their firm serves 71,074 clients with $15B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Park Avenue Securities (PAS) offers investment management through various programs. Some programs charge an all-inclusive bundled fee based on the value of your investments. This fee covers investment advice, trading, and other administrative costs. Fees vary depending on the specific program you choose. PAS also offers a digital advisory program called VestWise with a lower fee structure. PAS representatives are compensated for servicing your accounts, and this compensation may be more than if you paid separately for investment advice and brokerage services.
Location
2000 Chapel View Blvd, Suite 215, Cranston, RI, 02920
Get directionsHistory
Regulatory History (8)
Judgment / Lien
February 2023Judgment / Lien
February 2023Customer Dispute
April 2020Customer Dispute
June 2019Employment Separation After Allegations
July 2018Customer Dispute
September 2017Customer Dispute
August 2013Customer Dispute
August 2012Other Business Activities
James is the sole owner of Greenwich Bay Wealth Management, LLC, dedicating full-time hours to it. He also plays in a band called Good N' You! and is a notary public, spending minimal time on each of these activities.
Employment History
Current Registrations
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Cantella & CO., INC.Broker
Cantella & CO., INC.
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Morgan StanleyBroker
Morgan Stanley
LPL Financial LLC
LPL Financial LLCBroker
First Investors CorporationBroker
State Registrations8 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.