James KneeCRD Number: 1852920
Current Firm: Voya Financial Advisors, Inc.
James Knee (CRD# 1852920) is an Investment Advisor Representative working at Voya Financial Advisors, Inc. in Concord, NH and has over 29 years of experience in the finance industry.
Prosperity Wealth Management, Inc.
|Voya Financial Advisors, Inc.||Concord, NH||Oct 2015 - Current||2|
|Ameriprise Financial Services Inc.||Concord, NH||Aug 2012 - Oct 2015||3|
|Investors Capital Corp.||Lynnfield, MA||Dec 2009 - Aug 2012||2|
|Sterling Financial Services, LLC||Concord, NH||Jan 2007 - Aug 2012||5|
|Sterling Financial Services, LLC||Concord, NH||May 2005 - Aug 2012||7|
|Cambridge Investment Research, Inc.||Fairfield, IA||Dec 2006 - Dec 2009||3|
|Cantella & Co Inc.||Boston, MA||Feb 2005 - Dec 2006||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1988|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management9,298MILLIONS
Total Number of Accounts59,441ACCOUNTS
Average Account Value$156,432
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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