James CaseyCRD Number: 1791115
Current Firm: Integrated Wealth Management, Inc.
James Casey (CRD# 1791115) is an Investment Advisor Representative working at Integrated Wealth Management, Inc. in Palm Springs, CA and has over 26 years of experience in the finance industry.
Centaurus Financial, Inc.
Balboa Wealth Partners, Inc.
Flc Capital Advisors
|Purshe Kaplan Sterling Investments||Albany, NY||Aug 2010 - Current||7|
|Integrated Wealth Management||Palm Springs, CA||Feb 2005 - Current||12|
|Bcg Securities, Inc.||Delran, NJ||Mar 2005 - Aug 2010||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1991|
|S65||NASAA Investment Advisors Law Examination||Sep 1994|
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 Management1,178MILLIONS
Total Number of Accounts3,770ACCOUNTS
Average Account Value$312,361
- A percentage of assets under your management
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AZ, CA, CO, FL, ID, IL, NM, NV, NY, OR, TX, UT, WA