James Lavan is a registered investment advisor, based in New York, NY, with 25 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
One Madison Avenue, 18th Floor, New York, NY, 10010
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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.
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James is on the board of directors for NICSA, a non-profit trade association, since October 2018, dedicating minimal time. He is also a board member for Expect Miracles Foundation since March 2025, dedicating minimal time.
Employment History
Current Registrations
Franklin Distributors, LLC
Franklin Distributors, LLCBroker
Clearbridge Investments, LLC
Previous Registrations
Putnam Retail Management Limited PartnershipBroker
Franklin Templeton Financial Services CORP.Broker
Franklin/templeton Distributors, INC.Broker
Managed Account Advisors LLC
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Lord, Abbett & CO. LLC
Lord Abbett Distributor LLCBroker
TD Waterhouse Investor Services, INC.Broker
State Registrations53 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.
Exams
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