James F. Mundell

MUNDELL ASSET MANAGEMENT LLC

CANAL FULTON, OH

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CRD#: 2317425

Professional summary

James Frank Mundell, who also goes by Jim Mundell, is a registered financial advisor currently at MUNDELL ASSET MANAGEMENT LLC located in Canal Fulton, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. James has worked at 8 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Mundell

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.

MUNDELL AGENCY; INVESTMENT-RELATED; CANAL FULTON, OH; INSURANCE SERVICES; OWNER; 03/2003; GREATER THAN 50% OF TIME SPENT IN THIS BUSINESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Frank Mundell'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®

None

Experience

Current

November 4, 2009 - Present

MUNDELL ASSET MANAGEMENT LLC

RIA

CRD#: 151000

CANAL FULTON, OH

Past

April 23, 2003 - October 18, 2004

WINEBRENNER CAPITAL PARTNERS, LLC

CRD#: 48027

LOUISVILLE, KY

Past

July 2, 2002 - March 25, 2003

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 24, 1996 - July 1, 2002

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 26, 1996 - September 18, 1996

DALTON STRATEGIC INVESTMENT SERVICES INC.

CRD#: 23485

KNIGHTSTOWN, IN

Past

April 24, 1995 - March 19, 1996

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

June 13, 1994 - March 22, 1995

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

July 14, 1993 - April 27, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Ohio
(11/4/2009)

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

Series 63

Date: 9/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/13/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MUNDELL ASSET MANAGEMENT LLC

MUNDELL ASSET MANAGEMENT LLC | THE MUNDELL GROUP

CRD#: 151000 / SEC#:

Ohio

Registered Investment Advisory firm - (10/28/2009 Approved)

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Contact information

Main Address

Canal Fulton, OH

Mailing Address

Po Box 638, Canal Fulton, OH 44614

Phone number

(330) 854-6555

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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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James F. Mundell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Frank Mundell's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUNDELL ASSET MANAGEMENT LLC

WINEBRENNER CAPITAL PARTNERS, LLC

BANC ONE SECURITIES CORPORATION

LOCUST STREET SECURITIES, INC.

DALTON STRATEGIC INVESTMENT SERVICES INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

FINANCIAL HORIZONS SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/1994

Series 7

Date: 6/17/2002

Series 6

Date: 7/13/1993

Current Firm

MUNDELL ASSET MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

MUNDELL ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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