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James Noack

Madison Avenue Securities, LLC
17 Years of Experience
Benicia, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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James Noack is a registered investment advisor at Madison Avenue Securities, LLC, based in Benicia, CA, with 17 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 14,099 clients with $2B in assets under management.

Madison Avenue Securities, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
246 advisors
Number of Clients
14,099 clients
Average Client Portfolio
$143K average
Assets Under Management
$2.0B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum fee rates vary by program, up to 2.00% for Fee Plus Transaction, AE Wealth Management, and Envestnet programs, and up to 2.25% for the Standard and Low-Minimum Wrap programs. Fees are negotiable and set by individual representatives.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Benicia, CA

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History

Regulatory History (2)
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.
Employment Separation After Allegations
May 2021
Customer Dispute
October 2018
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is the President/Owner of New Vintage Financial Services, LLC, a pass-through entity for securities and insurance business, and spends about 10% of his time on this. He also sells fixed insurance and is a board member/part owner of NoSeeUm Land Company and NoSeeUm Orchard, spending minimal time on these activities.

Employment History
Current Registrations
Madison Avenue Securities, LLCBroker
February 2022 - Present · 4 yrs 8 mos
Madison Avenue Securities, LLC
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Commonwealth Financial NetworkBroker
May 2019 - May 2021 · 2 yrs
Commonwealth Financial Network
May 2019 - May 2021 · 2 yrs
Madison Avenue Securities, LLC
February 2010 - May 2019 · 9 yrs 3 mos
Madison Avenue Securities, LLCBroker
December 2009 - May 2019 · 9 yrs 5 mos
Sigma Financial CorporationBroker
January 2003 - April 2004 · 1 yr 3 mos
State Registrations3 states
CAILOR
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.
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