James Casey, financial advisor Palm Springs CA
83 score

James Casey

CRD 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 25 years of experience in the finance industry.

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Company Name Location Dates Years
Purshe Kaplan Sterling Investments Albany, NY Aug 2010 - Current 6
Integrated Wealth Management Palm Springs, CA Feb 2005 - Current 11
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
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 M. Casey
Phone Number: 866-888-6563
Firm Website: http://www.iwmgmt.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,178
    MILLIONS
  • Total Number of Accounts
    3,770
    ACCOUNTS
  • Average Account Value
    $312,361
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

AK, AZ, CA, CO, FL, ID, IL, NM, NV, NY, OR, TX, UT, WA

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BADGES
83

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