JM
CFP
JM
CFP
James Maugeri
26 Years of Experience
Mt Pleasant, SC
1 DisclosureBroker
James Maugeri is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Mt Pleasant, SC, with 26 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
Loading...
Location
Mt Pleasant, SC
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2000Denied
Other Business Activities
James is the owner of a tax consulting business since 2009, with varying hours. He also uses Maugeri Wealth Management as a DBA for his investment practice.
Employment History
Current Registrations
Cetera Investment Advisers LLC
November 2010 - Present · 15 yrs 6 mos
Cetera Financial Specialists LLCBroker
November 2010 - Present · 15 yrs 6 mos
Previous Registrations
LPL Financial Corporation
November 2008 - November 2010 · 2 yrs
LPL Financial CorporationBroker
January 2005 - November 2010 · 5 yrs 10 mos
Edward JonesBroker
October 1999 - January 2005 · 5 yrs 3 mos
State Registrations6 states
FLGANCPASCTN
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.