James D. Wetzel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James David Wetzel, CFP®, who also goes by James D Wetzel, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 63, Series 7, Series 22, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1982
Experience
January 8, 2004 - April 4, 2017
FEG
January 8, 1987 - April 5, 1989
PRUCO SECURITIES, LLC.
February 13, 1986 - April 12, 1994
MARINER FINANCIAL SERVICES, INC.
February 20, 1985 - April 1, 1986
AETNA FINANCIAL SERVICES, INC.
June 19, 1983 - February 25, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
FEG
CRD#: 121658 / SEC#: 801-61324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 5/28/1982
Non-Member General Securities ExaminationCurrent Firm
FEG
CRD#: 121658 / SEC#: 801-61324
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 188 |
| AUM (Assets Under Management) | $ 20,565,989,191 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 12/20/2023 | ||
| 10/27/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
