James WalleriusCRD Number: 1976241
Current Firm: Systematic Financial Management LP
James Wallerius (CRD# 1976241) is an Investment Advisor Representative working at Systematic Financial Management LP in Fernandina Beach, FL and has over 28 years of experience in the finance industry.
Wealth By Empowerment
Disciplined Equity Management, Inc.
Marchand Faries Financial Management, Inc.
|Systematic Financial Management||Teaneck, NJ||Mar 2000 - Current||18|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1989|
|S65||NASAA Investment Advisors Law Examination||Apr 1995|
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:
- Employer Dispute
Total Assets Under Management6,584MILLIONS
Total Number of Accounts438ACCOUNTS
Average Account Value$15,031,513
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
AK, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MT, NC, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV