James Spiegelberg is a registered investment advisor, based in Wauwatosa, WI, with 27 years of industry experience.
Location
11933 W. Burleigh Street, Wauwatosa, WI, 53222
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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 owns Spiegelberg Financial Services, providing tax, consulting, and accounting services, dedicating nearly full-time hours. He also sells life, disability, and long-term care insurance and annuities, and manages insurance client relationships through Avantax Insurance Agency, spending minimal time on these activities.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
Avantax Planning Partners, INC.
Previous Registrations
Avantax Investment Services, INC.Broker
Proequities, INC.Broker
H.D. Vest Investment Securities, INC.Broker
State Registrations1 state
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.