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James Szczesniak

Wells Fargo Advisors
30 Years of Experience
Syracuse, NY
1 DisclosureBroker
View SEC Summary
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James Szczesniak is a registered investment advisor at Wells Fargo Advisors, based in Syracuse, NY, with 30 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B

Fee Structure

Minimum Investment:$250K
  • Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.

The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.

One-Time Plan:Up to $25,000
View Full SEC Brochure

Location

500 Plum St, Bridgewater Place, Syracuse, NY, 13204

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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.
Customer Dispute
May 2005
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
October 2022 - Present · 3 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
October 2022 - Present · 3 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - October 2022 · 13 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - October 2022 · 13 yrs
Banc of America Investment Services, INC.
April 2007 - October 2009 · 2 yrs 6 mos
Banc of America Investment Services, INC.Broker
December 2006 - October 2009 · 2 yrs 10 mos
Edward JonesBroker
November 2001 - December 2006 · 5 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1999 - November 2001 · 2 yrs 6 mos
Copeland Equities, INC.Broker
January 1996 - February 1999 · 3 yrs 1 mo
MML Investors Services, INC.Broker
November 1995 - January 1996 · 2 mos
State Registrations16 states
CACOCTFLINKSMDMIMONCNYPASCVAVTWA
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.
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