James Lacey
James Lacey is a registered investment advisor at Wells Fargo Advisors, based in Walnut Creek, CA, with 27 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
500 Ygnacio Valley Rd 430, [Satellite], Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (4)
Customer Dispute
August 2020Customer Dispute
February 2013Customer Dispute
May 2009Criminal
May 1992Other Business Activities
James has 100% ownership of OMAO WM LLC, an investment-related business in Walnut Creek, CA, since September 2024. He dedicates minimal time to this activity.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
U.S. Bancorp Piper Jaffray INC.Broker
Salomon Smith Barney INC.Broker
Fasco International, INC.Broker
State Registrations13 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.