How trustworthy is your Financial Advisor?

CHECK FOR RED FLAGS

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See the full picture before you decide

Nearly 100,000 registered financial advisors have customer disputes, bankruptcies, criminal activity, and more on their records. In 2023, about 60 red flags were recorded daily. That's why it's crucial to check if your advisor has any red flags and decide whether you're comfortable with them.

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ADVISOR PROFILE

1. NAME OF OTHER BUSINESS: EXEMPLAR ACCOUNTING AND TAX, INC. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: DBA FOR ACCOUNTING BUSINESS POSITION/TITLE/RELATIONSHIP: EMPLOYEE START DATE: 12/01/2011 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: CROSS REFERRALS OF SECURITIES AND TAX BUSINESS; 2. NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFER FIXED LIFE, HEALTH, ANNUITIES AND LTC; 3. NAME OF OTHER BUSINESS: WALTER V. ISSEL TRUST INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: TRUSTEE DUTIES POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE FOR FATHER'S TRUST ACCOUNT START DATE: 02/17/1995 APX NUMBER OF HOURS PER WEEK: 15 MINUTES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: MANAGE SMALL INVESTMENT ACCOUNT; 4. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: LEGAL START DATE: 09/2018 POSITION/TITLE/RELATIONSHIP: EXECUTOR APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: EXECUTOR OF WILL, PROPERTY AND HEATH CARE POA FOR SIBLING

FIRM INFORMATION

Some financial advisors may work at more than one firm. Click view work history below to review their data.

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At AdvisorCheck, we want to ensure that the financial advisor you work with, or plan to work with, provides you with peace of mind that your money is safe. That’s why we offer background checks that cover 9 key categories.
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James Alan Issel

Experience: 39 years / 10 firms

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