James C Marshal
Professional Summary
James C Marshal, who also goes by James A Cundiff, James Austin Cundiff, Jim Austin Cundiff, is a registered financial advisor currently at THE INSTITUTE located in Melbourne, Florida. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 52 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James A Cundiff, James Austin Cundiff, Jim Austin Cundiff
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH PLANNING INC.
Contact Information
Main Address
9878 W. Belleview Ave. #2306, Denver, CO 80123Phone Number
(303) 572-3500# of Employees
18SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,684AUM (Assets Under Management)
$1,370,272,066Similar 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.
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Primary Firm SEC Registration
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH PLANNING INC.
State Registrations and Notice Filings
(7/18/2019)
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 C Marshal's CRS (Customer Relationship Summary).
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