James WhismanCRD Number: 4472874
Current Firm: Cetera Advisor Networks LLC
James Whisman (CRD# 4472874) is an Investment Advisor Representative working at Cetera Advisor Networks LLC in New Castle, DE and has over 13 years of experience in the finance industry. James Whisman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Dedicated Investment Advisers LLC
Affinity Wealth Management, Inc.
Ameriprise Financial Services, Inc.
|Cetera Advisor Networks LLC||El Segundo, CA||Sep 2013 - Current||3|
|Wharton Management Group||Wilmington, DE||May 2004 - Current||12|
|Whisman, Grygiel & Giordano||Wilmington, DE||Jan 1973 - Oct 2014||41|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2003|
|S65||NASAA Investment Advisors Law Examination||Jan 2004|
Total Assets Under Management16,791MILLIONS
Total Number of Accounts70,113ACCOUNTS
Average Account Value$239,482
- 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
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops