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 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
515 North 12th Street, Murray, KY, 42071
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
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 4 mos
Cetera Investment Services LLCBroker
January 2015 - Present · 11 yrs 4 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.