JM
JM
James Mcconnell
20 Years of Experience
Murray, KY
1 DisclosureBroker
James Mcconnell is a registered investment advisor at Cetera Investment Advisers LLC, based in Murray, KY, with 20 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
515 North 12th Street, Murray, KY, 42071
Get directionsHistory
Regulatory History (1)
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Customer Dispute
March 2013Settled
Other Business Activities
James is a board member of the Ju Kevil Foundation, which provides education and job training skills for mentally and physically handicapped individuals.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2015 - Present · 11 yrs 9 mos
Cetera Investment Services LLCBroker
January 2015 - Present · 11 yrs 9 mos
Previous Registrations
Bb&t Investment Services, INC.Broker
November 2012 - December 2014 · 2 yrs 1 mo
Bb&t Investment Services, INC.
November 2012 - December 2014 · 2 yrs 1 mo
Fifth Third Securities, INC.
May 2012 - November 2012 · 6 mos
Fifth Third Securities, INC.Broker
May 2012 - November 2012 · 6 mos
Cuso Financial Services, L.P.
September 2007 - April 2012 · 4 yrs 7 mos
Cuso Financial Services, L.P.Broker
September 2007 - April 2012 · 4 yrs 7 mos
Investment Professionals, INC.
May 2007 - September 2007 · 4 mos
Investment Professionals, INC.Broker
May 2007 - September 2007 · 4 mos
Bb&t Investment Services, INC.
July 2006 - May 2007 · 10 mos
Bb&t Investment Services, INC.Broker
July 2006 - May 2007 · 10 mos
Edward JonesBroker
November 2005 - May 2006 · 6 mos
Woodmen Financial Services, INC.Broker
June 2005 - October 2005 · 4 mos
State Registrations8 states
ARFLGAILINKYMOTN
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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