James Gillen
James Gillen is a registered investment advisor at Duncan Financial Planning Advisors, based in Colona, IL, with 22 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 2 clients.
Compensation
Firm Size
IM Fee
Fee Structure
Location
Colona, IL
Get directionsHistory
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 is an investment advisory representative of an RIA since 2016, spending full-time hours. He is also the owner of Retirement Plan Team, Inc. since 2019 and an independent insurance agent for various independent insurance companies since 2020, dedicating a few hours per week.
Employment History
Current Registrations
Duncan Financial Planning Advisors
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Usallianz Securities, INC.
Usallianz Securities, INC.Broker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
State Registrations6 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.