James Coleman, financial advisor Waterbury CT
83 score

James Coleman

CRD Number: 2001116
Current Firm: Securities America Advisors, Inc.

James Coleman (CRD# 2001116) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Waterbury, CT and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Coleman Financial Advisory Group Waterbury, CT Jul 2006 - Current 10
James W. Coleman Waterbury, CT Jan 2006 - Current 10
Securities America Advisors, Inc. Waterbury, CT May 2004 - Current 12
Securities America, Inc. Waterbury, CT May 2004 - Current 12
Coleman Financial Advisory Group Waterbury, CT Apr 1990 - Current 26
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1992
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 W. Coleman
Phone Number: 402-399-9111
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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