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James Wheeler

Fifth Third Securities, INC.
8 Years of Experience
Lexington, KY
3 DisclosuresBroker
View SEC Summary
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James Wheeler is a registered investment advisor at Fifth Third Securities, INC., based in Lexington, KY, with 8 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 High Net Worth, Investment Management, Retirement Planning. Their firm serves 47,014 clients with $11B in assets under management.

Fifth Third Securities, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1009 advisors
Number of Clients
47,014 clients
Average Client Portfolio
$232K average
Assets Under Management
$10.9B

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.35%
$500K - $750K1.25%
$750K - $1.0M1.10%
$1.0M - $2.0M1.00%
$2M+0.80%

Fees are negotiable. Maximum fee is 1.50%.

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

Location

3061 Harrodsburg Road, Lexington, KY, 40513

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History

Regulatory History (3)
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.
Judgment / Lien
June 2026
Judgment / Lien
April 2026
Judgment / Lien
July 2017
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Fifth Third Securities, INC.
November 2018 - Present · 7 yrs 11 mos
Fifth Third Securities, INC.Broker
March 2018 - Present · 8 yrs 7 mos
State Registrations7 states
CAFLKYNCOHSCTN
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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