James Beaudoin is a registered investment advisor, based in Elm Grove, WI, with 25 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Elm Grove, WI
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Regulatory History (4)
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Customer Dispute
June 2021Settled
Judgment / Lien
November 2019Customer Dispute
September 2013Closed-No Action
Employment Separation After Allegations
June 2008Other Business Activities
Jim is the secretary for Parks Edge, a jointly owned property, and the head tennis coach at Brookfield Academy High School. He spends minimal time on the property and about 10-20% of his time coaching during the season.
Employment History
Current Registrations
Quincy Wells Capital, LLCBroker
May 2026 - Present · 5 mos
Quincy Wells Advisors, LLC
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
Great Point Capital LLCBroker
May 2022 - May 2026 · 4 yrs
Great Point Advisors, LLC
May 2022 - May 2022 · 0 mos
Berthel, Fisher & Company Financial Services, INC.Broker
November 2010 - May 2022 · 11 yrs 6 mos
Berthel Fisher & Company Financial Services, INC.
November 2010 - May 2022 · 11 yrs 6 mos
Brewer Investment Advisors LLC
June 2008 - November 2010 · 2 yrs 5 mos
Brewer Financial Services, LLCBroker
June 2008 - November 2010 · 2 yrs 5 mos
LPL Financial CorporationBroker
October 2006 - June 2008 · 1 yr 8 mos
LPL Financial Corporation
October 2006 - June 2008 · 1 yr 8 mos
Robert W. Baird & CO. Incorporated
October 2004 - October 2006 · 2 yrs
Robert W. Baird & CO. IncorporatedBroker
August 2004 - October 2006 · 2 yrs 2 mos
UBS Global Asset Management (US) INC.Broker
October 2001 - June 2002 · 8 mos
Strong Investments, INC.Broker
March 1998 - November 2000 · 2 yrs 8 mos
State Registrations3 states
GATXWI
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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