JC
JC
James Cannan
45 Years of Experience
Downers Grove, IL
3 DisclosuresBroker
James Cannan is a registered investment advisor at Wells Fargo Advisors, based in Downers Grove, IL, with 45 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Loading...
Location
4829 Middaugh Ave, Downers Grove, IL, 60515
Get directionsHistory
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.
Customer Dispute
November 2005Denied
Customer Dispute
June 1997Settled
Customer Dispute
April 1997Award / Judgment
Other Business Activities
James owns 100% of Yorkshire Financial Advisors Inc., an investment-related business. He dedicates full-time hours to this practice.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
August 2016 - Present · 9 yrs 9 mos
Wells Fargo Advisors
August 2016 - Present · 9 yrs 9 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - September 2016 · 7 yrs 3 mos
Morgan Stanley
June 2009 - September 2016 · 7 yrs 3 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Citigroup Global Markets INC.
January 2001 - May 2007 · 6 yrs 4 mos
Citigroup Global Markets INC.Broker
July 1993 - May 2007 · 13 yrs 10 mos
Lehman Brothers INC.Broker
July 1992 - July 1993 · 1 yr
Hamilton Investments, INC.Broker
January 1990 - July 1992 · 2 yrs 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
November 1982 - January 1990 · 7 yrs 2 mos
E. F. Hutton & Company INCBroker
December 1980 - December 1982 · 2 yrs
State Registrations7 states
ARDCFLILMIVAWI
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.