James Kaufmann
James Kaufmann is a registered investment advisor at VALIC Financial Advisors, INC., based in Vernon, CT, with 27 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 2 more. Their firm serves 293,993 clients with $26B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Financial planning fees depend on the complexity of your situation, the number of topics covered, the time needed to complete the plan, your net worth, and your location.
- Consulting services are offered on a per-project basis, not exceeding $7,500 annually.
- The total combined fee for a financial plan and consulting services will not exceed $10,000 annually.
Location
Vernon, CT
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James works as an agent for AGIA, selling non-securities insurance products, dedicating a few hours per week to this activity.
Employment History
Current Registrations
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
Previous Registrations
Ing Financial Partners, INC.Broker
Ing Financial Advisers, LLCBroker
Metlife Investors Distribution CompanyBroker
Tower Square Securities, INC.Broker
Salomon Smith Barney INC.Broker
Tower Square Securities, INC.Broker
State Registrations15 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.