James D. Cantrell
FINANCIAL STRATEGIES
BROOKFIELD, WI 53005
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CRD#: 2087445
Professional summary
James Douglas Cantrell, CFP® is a registered financial advisor currently at FINANCIAL STRATEGIES, INC. located in Brookfield, Wisconsin.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. James has worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Biography
Jim Cantrell, CFP is the Founder and President of Financial Strategies, Inc. Jim has earned the designation of NAPFA REGISTERED FINANCIAL ADVISOR, and has served as the president and chair of the NAPFA Midwest Region Board. Jim recently completed a 3 year term on NAPFA's National Board. He also serves on the NAPFA Consumer Education Foundation (NCEF) Board of Directors. When Jim joined NAPFA in 1996, he was one of only three NAPFA members statewide. He has also attained the designation of Certified Financial Planner (CFP®), is a Registered Investment Advisor Representative, and has over 30 years of experience in financial planning and investment advising.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Tax Planning
Estate Planning
Education Planning
Investment Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Do you have an area of expertise or specialization?
Corporate Executives
Estate & Generational Planning...
High Net Worth Client Needs
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Tax Planning
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Douglas Cantrell'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®
CFP®
Start date: 1995
Experience
Current
March 27, 1995 - Present
FINANCIAL STRATEGIES, INC.
Office #1: 13555 Bishops Court Suite 340, Brookfield, WI 53005RIA
CRD#: 113097
BROOKFIELD, WI
Past
January 24, 1994 - May 26, 1995
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
June 25, 1991 - January 11, 1994
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
BLOOMINGTON, IL
Past
September 13, 1990 - June 25, 1991
PLANNED INVESTMENTS INC.
BD
CRD#: 5066
ATLANTA, GA
Past
September 10, 1990 - October 1, 1990
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
FINANCIAL STRATEGIES, INC.
FINANCIAL STRATEGIES, INC. | FINANCIAL STRATEGIES, INCORPORATED
CRD#: 113097 / SEC#: 801-125921
RIA
Registered Investment Advisory firm - (6/21/2022 Approved)Arizona
Registered Investment Advisory firm - (6/27/2022 Terminated)Illinois
Registered Investment Advisory firm - (12/16/2021 Terminated)Wisconsin
Registered Investment Advisory firm - (6/27/2022 Terminated)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
Texas(1/2/2025)
IAR
Wisconsin(3/27/1995)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FINANCIAL STRATEGIES, INC.
FINANCIAL STRATEGIES, INC. | FINANCIAL STRATEGIES, INCORPORATED
CRD#: 113097 / SEC#: 801-125921
RIA
Registered Investment Advisory firm - (6/21/2022 Approved)Arizona
Registered Investment Advisory firm - (6/27/2022 Terminated)Illinois
Registered Investment Advisory firm - (12/16/2021 Terminated)Wisconsin
Registered Investment Advisory firm - (6/27/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13555 Bishops Court Suite 340, Brookfield, WI 53005
Mailing Address
Phone number
(262) 821-1664
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 554 |
| AUM (Assets Under Management) | $ 137,037,345 |
Red Flags
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Company Information
FINANCIAL STRATEGIES, INC.
CRD#: 113097Brookfield, WI 53005TRUST BUT VERIFY
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Contact information
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