JL
JL
James Lux
31 Years of Experience
West Allis, WI
2 DisclosuresBrokerSells Insurance
James Lux is a registered investment advisor at Cetera Investment Advisers LLC, based in West Allis, WI, with 31 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
10150 W National Ave Ste 325, West Allis, WI, 53227
Get directionsHistory
Regulatory History (2)
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Financial
June 2017Final
Customer Dispute
November 2015Settled
Other Business ActivitiesSells Insurance
James sells life, health, disability, annuities, and long-term care insurance. He is also a registered representative for Central Financial Services, a DBA for financial services, dedicating about 10-20% of his time to this role.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
January 1996 - Present · 30 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
April 1997 - June 2023 · 26 yrs 2 mos
Fahnestock & CO., INC.Broker
May 1994 - December 1995 · 1 yr 7 mos
State Registrations3 states
FLGAWI
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.