James Oliver
James Oliver is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Old Saybrook, CT, with 25 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
123 Elm Street, Suite 900, Old Saybrook, CT, 06475
Get directionsHistory
Regulatory History (3)
Customer Dispute
November 2009Customer Dispute
January 2009Customer Dispute
June 2006Other Business Activities
James is an officer and president of 123 Elm Street Association, which manages the property where his advisory office is located, and spends minimal time on this. He also owns rental real estate and is an officer at Oliver Asset Advisors LLC, dedicating about half his time to the advisory office.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
Raymond James Financial Services Advisors, INC
Previous Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Cco Investment Services CORP.
Cco Investment Services CORP.Broker
Primevest Financial Services, INC.
Bancnorth Investment Group, INC.Broker
Webster Investment Services, INC
Webster Investment Services, INC.Broker
Wachovia Securities, INC.Broker
MML Distributors, LLCBroker
Morgan Stanley Dw INC.Broker
State Registrations12 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.