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ChFC
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ChFC

James Couzens

Cwm, LLC
56 Years of Experience
Farmington, CT
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Couzens is a ChFC-designated registered investment advisor at Cwm, LLC, based in Farmington, CT, with 56 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 52,669 clients with $51B in assets under management.

Cwm, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
663 advisors
Number of Clients
52,669 clients
Average Client Portfolio
$960K average
Assets Under Management
$50.6B

Fee Structure

Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Annual investment advisory fee ranges up to a maximum of 2.50% of assets held in the account. Fees are negotiable based on account size, complexity, and other factors.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

10 Melrose Dr., Farmington, CT, 06032

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

James is an insurance agent selling life, disability, annuities, and long-term care insurance, dedicating a few hours per week. He also works full-time as a wealth advisor for CWM, LLC DBA Carson Partners and CWM, LLC DBA Carson Group Holdings, and co-owns KCA Realty, spending minimal time on this.

Employment History
Current Registrations
Cwm, LLC
May 2022 - Present · 4 yrs 5 mos
Cetera Wealth Services, LLCBroker
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
Royal Alliance Associates, INC.
October 1993 - February 2019 · 25 yrs 4 mos
Karn, Couzens & Associates, INC.
July 1990 - May 2022 · 31 yrs 10 mos
Integrated Resources Equity CorporationBroker
November 1989 - December 1989 · 1 mo
Royal Alliance Associates, INC.Broker
November 1989 - May 2022 · 32 yrs 6 mos
Integrated Resources Equity CorporationBroker
January 1983 - November 1989 · 6 yrs 10 mos
Bnl Securities INC.Broker
September 1982 - January 1983 · 4 mos
Independent Financial Planners CorporationBroker
January 1975 - December 1982 · 7 yrs 11 mos
Integrated Resources Equity CorporationBroker
November 1972 - April 1975 · 2 yrs 5 mos
Phoenix Equity Planning CorporationBroker
February 1970 - November 1972 · 2 yrs 9 mos
State Registrations5 states
CTFLGAMASC
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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