James Auxier, financial advisor Lake Oswego OR
83 score

James Auxier

CRD Number: 1085665
Current Firm: Auxier Asset Management

James Auxier (CRD# 1085665) is an Investment Advisor Representative working at Auxier Asset Management in Lake Oswego, OR and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Foreside Fund Services, LLC Lake Oswego, OR Mar 2014 - Current 2
Auxier Asset Management Tualatin, OR Jul 1998 - Current 18
Westminster Financial Securities, Inc. Vandalia, OH May 2004 - Dec 2011 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1983
S65 NASAA Investment Advisors Law Examination Jun 1992
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for James J. Auxier
Phone Number: 503-885-8807
Firm Website: http://auxierasset.com
Registered State(s):
  • OR
By the Numbers
  • Total Assets Under Management
    590
    MILLIONS
  • Total Number of Accounts
    372
    ACCOUNTS
  • Average Account Value
    $1,585,771
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
Types of Clients
Registered States

CA, FL, OR, TX, WA

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BADGES
83

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