James HauserCRD Number: 6107950
Current Firm: Edward Jones
James Hauser (CRD# 6107950) is an Investment Advisor Representative working at Edward Jones in Greenfield, WI and has over 4 years of experience in the finance industry.
Financial Service Group Inc.
Fortress Planning Group
Cedarpoint Investment Advisors, Inc.
|Edward Jones||St Louis, MO||Aug 2012 - Current||4|
|Retired||Brookfield, WI||Oct 2011 - Aug 2012||< 1|
|Travelers||Brookfield, WI||Jan 2002 - Oct 2011||9|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2012|
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 Management140,424MILLIONS
Total Number of Accounts777,048ACCOUNTS
Average Account Value$180,715
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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, VI, VT, WA, WI, WV