James AdamsCRD Number: 1287344
Current Firm: Cadaret Grant & Co Inc.
James Adams (CRD# 1287344) is an Investment Advisor Representative working at Cadaret Grant & Co Inc. in Shoemakersville, PA and has over 32 years of experience in the finance industry. James Adams 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.
Kaufman Advisory Services, Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Msi Financial Services, Inc.
|Cadaret, Grant & Company, Inc.||Blandon, PA||Sep 2001 - Current||15|
|Adams & Associates||Blandon, PA||Sep 2001 - Current||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1984|
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 Management3,475MILLIONS
Total Number of Accounts18,688ACCOUNTS
Average Account Value$185,929
- 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)
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