| Advisor Profile |
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| Name: |
James McManus |
| Phone Number: |
(203) 285-3596 |
| Website: |
Visit Website
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Business Description |
| We provide personalized financial services and tailored recommendations that help you achieve your financial goals. Our hallmark has always been providing the highest level of service, working closely with our clients to maximize their risk-adjusted returns. We will never try to "sell" you anything and our only method of compensation is a fee. Your interests always come first while helping you and your family maintain and improve your standard of living by providing the investment products and services you need, the personal service you deserve and the unbiased advice that is morally and professionally required. |
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General Information |
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| Insurance License#: |
1017922
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| Name of Broker/Dealer: |
Ameriprise Financial Services, Inc.
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| States Licensed in: |
AZ, CA, CO, CT, FL, MA, ME, NJ, NY, OR, PA, SC, VA
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| Years of Experience in Financial Services: |
13
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| Number of Years with Current Firm: |
1
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| Work Experience: |
I have been helping my clients and their families manage their assets for over 13 years. I provide comprehensive financial planning as well.
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| I work with the following types of clients: |
Businesses, Investment Clubs, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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| Bachelors degree in Finance - Salve Regina University |
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Services |
| Investment Types: |
Options, Bonds, Stocks, Annuities, Insurance, Commodities, Mutual Funds, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Accredited Asset Management Specialist (AAMS®), Chartered Mutual Fund Counselor (CMFC®)
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| Securities Licenses: |
Series 66, Series 63, Series 31, Series 10, Series 9, Series 7
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Annuity, Health, Life
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| Financial Organization Memberships: |
Paladin Registry
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Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
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| I work with clients as part of a team: |
Yes
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| Advisor's Number of Clients: |
65
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| Advisor's Number of Managed Clients: |
55
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| Advisor's Number of Planning Clients: |
30
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| Assets Managed by Advisor: |
$20,000,000.00
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$25,000
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| Compensation Methods: |
Based on Assets, Flat Fee
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| Minimum Fee Charged for Flat Fee Accounts: |
$700
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| Prepared By: |
James McManus |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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Charter Mutual Fund Counselor and Accredited Asset Management Specialist
BS in Finance |
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What is your approach to financial planning? |
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Comprehensive Financial Planning |
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What services do you offer? |
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Full Financial Planning and Asset Management |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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Are there any pre-existing conditions that you can not cover? |
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