James Brecher, financial advisor Wheaton IL
73 score

James Brecher

CRD Number: 5480588
Current Firm: First Trust Advisors LP

James Brecher (CRD# 5480588) is an Investment Advisor Representative working at First Trust Advisors LP in Wheaton, IL and has over 8 years of experience in the finance industry.

Similar Advisors
Allen Kutchins, financial advisor Wheaton IL
Allen I. Kutchins
CRD# 4478796
Krd Financial
Score
106
Similar Advisors
Daniel Lockwood, financial advisor Wheaton IL
Daniel A. Lockwood
CRD# 3080178
Waddell & Reed
Score
104
Similar Advisors
Jonathan Rogers, financial advisor Wheaton IL
Jonathan M. Rogers
CRD# 5307693
Forum Financial Management, LP
Score
104
Company Name Location Dates Years
First Trust Portfolios LP Wheaton, IL Apr 2015 - Current 1
First Trust Portfolios LP Wheaton, IL Apr 2015 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin, TX Jul 2014 - Apr 2015 < 1
Bank Of America N.a. Austin, TX Jul 2014 - Apr 2015 < 1
Fidelity Investments Institutional Services Company, Inc. Westlake, TX Jul 2012 - Jul 2014 2
Unemployed Scottsdale, AZ Apr 2012 - Jul 2012 < 1
The Vanguard Group, Inc. Scottsdale, AZ Jan 2008 - Apr 2012 4
Banner Thunderbird Medical Center Glendale, AZ Aug 2005 - Jan 2008 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2014
S63 Uniform Securities State Law Examination Feb 2008
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for James M. Brecher
Phone Number: 630-765-8000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    104,224
    MILLIONS
  • Total Number of Accounts
    4,116
    ACCOUNTS
  • Average Account Value
    $25,321,679
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from James Brecher and other advisors.
BADGES
73

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.