TrueAdvisor
TrueAdvisor
JC
CFP
JC
CFP

James Caparelli

Gwn Securities INC.
31 Years of Experience
Savannah, GA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

James Caparelli is a CFP-designated registered investment advisor at Gwn Securities INC., based in Savannah, GA, with 31 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 37,793 clients with $4.8B in assets under management.

Gwn Securities INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
505 advisors
Number of Clients
37,793 clients
Average Client Portfolio
$126K average
Assets Under Management
$4.8B

Fee Structure

Minimum Investment:$2K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.25%
$500K - $1.0M1.00%
$1M+0.50%

Schedule represents the standard GWN Managed Account Program. Other programs such as Premier, Total Access, and FMAX have separate fee schedules or negotiable rates up to 2.00%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7505 Waters Ave, Ste. A-3, Savannah, GA, 31406

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
March 1990
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is an independent insurance agent selling life, long-term care, fixed annuities, and fixed indexed annuities, dedicating a few hours per week to this. He also co-owns residential rental properties with his spouse, spending minimal time on these passive activities.

Employment History
Current Registrations
Gwn Securities INC.
August 2010 - Present · 16 yrs 2 mos
Gwn Securities INC.Broker
August 2010 - Present · 16 yrs 2 mos
Previous Registrations
Great American Advisors, INC.
January 2007 - August 2010 · 3 yrs 7 mos
Great American Advisors, INC.Broker
December 2006 - August 2010 · 3 yrs 8 mos
Stuart Securities CORP.Broker
January 2001 - December 2006 · 5 yrs 11 mos
Wma Securities, INC.Broker
November 1994 - February 2001 · 6 yrs 3 mos
State Registrations11 states
ALAZFLGALAMDNCOHPASCTX
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.
More Advisors
More financial advisors in Savannah, GA →All financial advisors in Georgia →