JM
JM
James Moreno
19 Years of Experience
Denver, CO
1 DisclosureBroker
James Moreno is a registered investment advisor at Raymond James & Associates, INC., based in Denver, CO, with 19 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
4643 S Ulster St, Ste 350, Denver, CO, 80237
Get directionsHistory
Regulatory History (1)
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Criminal
October 1997Final Disposition
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2022 - Present · 4 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2022 - Present · 4 yrs 3 mos
Raymond James & Associates, INC.
February 2022 - Present · 4 yrs 3 mos
Previous Registrations
Hilltop Securities INC.
December 2012 - July 2021 · 8 yrs 7 mos
Hilltop Securities INC.Broker
November 2012 - July 2021 · 8 yrs 8 mos
Wfg Advisors, LP
August 2007 - August 2011 · 4 yrs
Wfg Investments, INC.Broker
January 2007 - August 2011 · 4 yrs 7 mos
H.D. Vest Investment Securities, INC.Broker
August 1999 - October 2001 · 2 yrs 2 mos
State Registrations1 state
CO
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.