James Tumminelli is a registered investment advisor, based in Austin, TX, with 20 years of industry experience.
Location
5707 Southwest Parkway, Building 2, Suite 400, Austin, TX, 78735
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an insurance agent with Advisors Insurance Brokers, offering life insurance and fixed annuities, dedicating a few hours per week. He is also a registered representative with Coastline Wealth Management and a financial advisor with Kestra Advisory Services, spending about a quarter of his time on each.
Employment History
Current Registrations
Kestra Investment Services, LLC
Kestra Investment Services, LLCBroker
Kestra Advisory Services, LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
Chase Investment Services CORP.
Wamu Investments, INC.
Wamu Investments, INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations9 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.