James Andrew Concannon
CFP®Professional Summary
James Andrew Concannon, CFP®, who also goes by Andy Concannon, J Andrew Concannon, is a registered financial advisor currently at GOELZER INVESTMENT MANAGEMENT located in Carmel, Indiana. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Andy Concannon, J Andrew Concannon
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Videos & Posts
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Contact Information
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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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Credentials
Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
GIM INVESTMENT SERVICES, INC. | GPRO SPORTS | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT
Contact Information
Main Address
10 East Main Street Suite 110, Carmel, IN 46032Phone Number
(317) 264-2600Established
Indiana since 10/16/1997Firm Type
CorporationFiscal Year End
December# of Employees
34SEC notice filing (20 States and Territories)
Registered to provide investment advisory services in 20 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREIHOFER, LISA GOELZER | OWNER | — |
| GOELZER, GREGORY WILLIAM | VICE CHAIRMAN AND CEO | 1040238 |
| GOELZER, SANDRA KAY | OWNER | — |
| JOAN B GOELZER CREDIT SHELTER TR U/A DTD 1-17-1991 | OWNER | — |
| MCKAMEY, BRETT DEAN | PRESIDENT AND COO | 1706545 |
| CONCANNON, JAMES ANDREW | OWNER | 1722214 |
| GOELZER EMPLOYEE STOCK OWNERSHIP PLAN | OWNER | — |
| SMITH, NEAL ANDREW | OWNER | 2168145 |
| BUSH, JEFFREY ADAM | CHIEF COMPLIANCE OFFICER | 6157908 |
| RYNERSON, DEBRA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1741218 |
Regulatory Assets Under Management
Total Number of Accounts
1,945AUM (Assets Under Management)
$4,510,923,289Disclosures
Regulatory Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
GIM INVESTMENT SERVICES, INC. | GPRO SPORTS | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT
State Registrations and Notice Filings
(12/24/2014)
(4/29/2013)
(10/8/2024)
(7/17/2015)
(2/7/2025)
(4/20/2005)
(4/17/2025)
(11/13/2009)
(6/8/2026)
(6/8/2026)
(12/11/2014)
(4/20/2005)
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.
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CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Concannon's CRS (Customer Relationship Summary).
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