James Aukerman is a CFP, PFS-designated registered investment advisor, based in Traverse City, MI, with 19 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Traverse City, MI
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 attorney and CPA, dedicating minimal time to legal services and tax preparation/planning. He also sells equity indexed annuities through Avantax Insurance Agency and provides assistance with Medicare Supplement and Medicare Advantage choices, spending a few hours per week on these activities, and mentors with SCORE.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
State Registrations3 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.
Exams
More Advisors
- Carey Tafelsky, CFPOld Mission Investment Company, LLC
- Claudia Rodriguez, CFPFalcon Wealth Planning, LLC
- Mark Folgmann, ChFCBollin Wealth Management, LLC
- Harold Jandreski, CFPRaymond James & Associates, INC.
- Benjamin Watts, CFPWells Fargo Advisors
- Renee Egelski, CFPMercer Global Advisors INC.