James Healy, financial advisor Oconomowoc WI
83 score

James Healy

CRD Number: 1255975
Current Firm: Thrivent Investment Management Inc.

James Healy (CRD# 1255975) is an Investment Advisor Representative working at Thrivent Investment Management Inc. in Oconomowoc, WI and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Thrivent Financial For Lutherans Appleton, WI Jun 2008 - Current 8
Thrivent Investment Management Inc. Oconomowoc, WI Apr 2008 - Current 8
Shorewest Realtors Oconomowoc, WI Jan 2007 - Jun 2008 1
Wachovia Securities LLC Waukesha, WI Oct 1990 - Nov 2006 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1984
S65 NASAA Investment Advisors Law Examination Jun 2001
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 P. Healy
Phone Number: 800-847-4836
Firm Website: https://www.thrivent.com
Registered State(s):
  • TX
  • WI
By the Numbers
  • Total Assets Under Management
    8,027
    MILLIONS
  • Total Number of Accounts
    36,119
    ACCOUNTS
  • Average Account Value
    $222,230
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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