James Caulfield
James Caulfield is a registered investment advisor at Shamrock Financial Services, based in Woodcliff Lake, NJ, with 31 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, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 97 clients with $19M 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 | 1.00% |
Fees are negotiable based on the type of client, complexity of the client's situation, the composition of the client's account, the potential for additional account deposits, the relationship of the client with the investment adviser representative, and the total amount of assets under management for the client. Existing clients may have a different fee schedule.
Fee Estimator
Location
50 Tice Blvd, Woodcliff Lake, NJ, 07677
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 ActivitiesSells Insurance
James has been an insurance agent since 2001, offering insurance products and services to clients and prospects. This activity takes about half of James's time and occurs during securities trading hours.
Employment History
Current Registrations
Shamrock Financial Services
Previous Registrations
Shamrock Financial Services
Taylor Capital Management INC.Broker
Shamrock Financial Services
Brokersxpress LLC
Brokersxpress LLCBroker
Madison Avenue Advisors, INC.
Madison Avenue Securities, INC.Broker
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
First Union Securities, INC.Broker
Painewebber IncorporatedBroker
Smith Barney INC.Broker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
State Registrations3 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.