James HealyCRD 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 33 years of experience in the finance industry.
Fortress Planning Group
Lpl Financial LLC
Cedarpoint Investment Advisors, Inc.
|Thrivent Financial For Lutherans||Appleton, WI||Jun 2008 - Current||9|
|Thrivent Investment Management Inc.||Oconomowoc, WI||Apr 2008 - Current||9|
|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|
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 Management8,027MILLIONS
Total Number of Accounts36,119ACCOUNTS
Average Account Value$222,230
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
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