James Moulton Lutz
Professional Summary
James Moulton Lutz, who also goes by James M Lutz, Jim Lutz, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1986 - 2024. James had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James M Lutz, Jim Lutz
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS
Contact Information
Main Address
1995 East Rum River Drive S., Cambridge, MN 55008Mailing Address
1995 East Rum River Drive S., Cambridge, MN 55008Phone Number
(763) 689-9023Established
Minnesota since 09/29/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
11SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
96AUM (Assets Under Management)
$10,932,672Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1986About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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