James R. Sotell

COMPERIO RETIREMENT CONSULTING

CARY, NC 27518

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CRD#: 1983050

Professional summary

James Richard Sotell, AIF® is a registered financial advisor currently at COMPERIO RETIREMENT CONSULTING, INC. located in Cary, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Sotell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 8, 2006 - Present

COMPERIO RETIREMENT CONSULTING, INC.

Office #1: 2500 Regency Parkway, Cary, NC 27518

RIA

CRD#: 140786

CARY, NC

Past

May 4, 2006 - December 31, 2015

CHAPEL HILL INVESTMENT ADVISORS

RIA

CRD#: 118530

CHAPEL HILL, NC

Past

January 3, 1991 - May 9, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

October 27, 1989 - December 31, 1990

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMPERIO RETIREMENT CONSULTING, INC.

CRD#: 140786 / SEC#: 801-66831

RIA

Registered Investment Advisory firm - (5/30/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(6/8/2006)

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

State Security Law Exam

IAR

Series 65

Date: 4/13/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/25/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPERIO RETIREMENT CONSULTING, INC.

CRD#: 140786 / SEC#: 801-66831

RIA

Registered Investment Advisory firm - (5/30/2006 Approved)

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Contact information

Main Address

2500 Regency Parkway, Cary, NC 27518

Mailing Address

2500 Regency Parkway, Cary, NC 27518

Phone number

(919) 401-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

COMPERIO ADV PART 2 (4/21/2025)

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 2,012,151,086

Red Flags

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James R. Sotell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Sotell's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPERIO RETIREMENT CONSULTING, INC.

CHAPEL HILL INVESTMENT ADVISORS

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

COMPERIO RETIREMENT CONSULTING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2006

Series 63

Date: 10/5/1989

Series 6

Date: 10/25/1989

Current Firm

COMPERIO RETIREMENT CONSULTING, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPERIO RETIREMENT CONSULTING, INC.

TRUST BUT VERIFY

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