JW
James A. Wiegel
WELLESLEY ASSET MANAGEMENT
Portsmouth, NH 03801
Some features on this profile are disabled
CRD#: 2678889
JW
Professional summary
James Alexander Wiegel, CFP®, who also goes by James A Wiegel, Jim Wiegel, is a registered financial advisor currently at WELLESLEY ASSET MANAGEMENT, INC. located in Portsmouth, New Hampshire and FORESIDE FUND SERVICES, LLC located in Portsmouth, New Hampshire.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Wiegel | Jim Wiegel
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.
1) Wellesley Asset Management; Investment Related; Wellesley, MA; Registered Investment Advisor; National Accounts Manager; Began 10/2008; 160 hours per month; Manage broker dealer relationships of client firms, manage a number of advisor relations 2) Massachusetts Air and Space Museum; Bedford, MA; Non-investment related; Began 09/06/2012; Museum; VP- Finance; signatory to bank accounts; 1 hour per month, 0 during securities trading hours. 3) Military Historical Society of Massachusetts; Boston, MA; Non-investment related; Began 04/14/2015; Philanthropic Organization; Treasurer; 2 hours per month, 0 during securities trading hours. 4) Worcester County Shrine Club, West Boylston, MA, Non Investment related, non-profit, Shrine clubs raise money in support of Shriner Hospitals, Start Date 2/13/19, Director, 1 hour per month with 0 during securities trading hours. 5) Ancient & Honorable Artillery Company (AHAC) of Massachusetts; Boston, MA; Investment Related; Began 01/2021; Honor Guard to the Governor of Massachusetts; Trustee of the Permanent Fund; Monitor Boston Financial Management's investments on behalf of the AHAC endowment aka The Permanent Fund; 1 hour per month with 0 hours during trading hours 6) Sudbury American Legion Post 19; Non-Investment Related; Sudbury, MA; Finance Officer; write checks to pay bills of the legion from non-interest-bearing checking accounts; Start 06/14/2006; 4 hours per month and 0 during trading hours 7) 76 Club; Non-Investment related; Boston MA; President; Men's business luncheon group; Start 05/24/2018; 8 Hours a month and 0 during Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Alexander Wiegel'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®
Experience
Current
July 30, 2010 - Present
WELLESLEY ASSET MANAGEMENT, INC.
Office #1: 100 Market Street Suite 203, Portsmouth, NH 03801RIA
CRD#: 116176
Portsmouth, NH
Current
January 5, 2017 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 100 Market St. Suite 203, Portsmouth, NH 03801BD
CRD#: 46106
Portsmouth, NH
Past
July 29, 2011 - December 31, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
October 22, 2007 - January 23, 2008
ENVESTNET PORTFOLIO SOLUTIONS, INC.
RIA
CRD#: 109662
BOSTON, MA
Past
March 27, 2000 - December 31, 2001
WINGATE CAPITAL CORPORATION
BD
CRD#: 17820
LEXINGTON, MA
Past
April 15, 1998 - February 16, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 3, 1996 - April 14, 1998
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
November 14, 1995 - May 31, 1996
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
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".
WA
WELLESLEY ASSET MANAGEMENT, INC.
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.
CRD#: 116176 / SEC#: 801-61288
RIA
Registered Investment Advisory firm - (6/27/2002 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Massachusetts(7/30/2010)
RR
Massachusetts(1/5/2017)
IAR
New Hampshire(2/3/2025)
RR
North Carolina(1/9/2017)
RR
Tennessee(1/3/2023)
RR
Texas(1/9/2017)
RR
Utah(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WELLESLEY ASSET MANAGEMENT, INC.
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.
CRD#: 116176 / SEC#: 801-61288
RIA
Registered Investment Advisory firm - (6/27/2002 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
100 Market Street Suite 203, Portsmouth, NH 03801
Mailing Address
Phone number
(781) 416-4000
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,478 |
| AUM (Assets Under Management) | $ 2,063,684,848 |
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.
Company Information
WELLESLEY ASSET MANAGEMENT, INC.
CRD#: 116176Portsmouth, NH 03801TRUST BUT VERIFY
Monitor James Wiegel
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
