James A. Mellon
CANTER WEALTH
La Jolla, CA 92037
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CRD#: 5988957
Professional summary
James Anthony Mellon, CFP®, who also goes by Jim Mellon, is a registered financial advisor currently at CANTER WEALTH located in La Jolla, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. James has worked at 5 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Mellon
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.
Canter Wealth HoldCo, LLC, is an owner of Canter Wealth. Canter Wealth HoldCo, LLC is owned by The CanterGroup, LLC. The Canter Group, LLC is owned by Canter Holdings, LLC, which is owned by Andrew E. Canter, through a Trust. The Canter Group operates a range of businesses through controlled entities, collectively referred to as the
"Canter Companies," which are described below. To the extent clients of Canter Wealth also use the services of one or more of the Canter Companies, the activities, and fees of the Canter Companies will be important to understand. Canter Wealth advisory clients should be aware that when they are using the services of affiliated
entities of Canter Wealth, such services are not provided by Canter Wealth, are subject to separate contractual arrangements, and are not part of the advisory services provided by Canter Wealth. Moreover, the protections afforded a client under applicable investment advisory laws and regulations generally do not apply to the services provided by non-advisory affiliates. From time to time and when appropriate for a client, Advisor Representatives of Canter Wealth will recommend that such clients consider the services of other affiliated Canter Companies. Personnel of other Canter Companies also retain the discretion to introduce non-advisory clients to Canter Wealth. This presents a conflict of interest since the Canter Group, LLC, will generally receive additional compensation if a Canter Wealth advisory client elects to utilize the services of another of the Canter Companies. The following are affiliated businesses owned and operated by the Canter Companies: Canter Management, LLC - a subsidiary of The Canter Group, is in the business of managing real estate
holdings. Canter Capital, LLC - subsidiary of The Canter Group, seeks private investment opportunities related to Venture Capital, Private Equity, and Private Real Estate Investments. Canter Development, LLC - a subsidiary of The Canter Group, is a real estate developer that is currently active in the San Diego market. Iconic Property Management, Inc. - a subsidiary of The Canter Group, is a real estate property manager. Canter Real Estate Group, Inc. - a subsidiary of The Canter Group, is a pass-through entity that has partnered with an independent and unaffiliated real estate brokerage firm. Certain of Canter Wealth's Advisor Representatives are also licensed real estate agents of an independent and unaffiliated real-estate brokerage and agency. And, from time to time, Advisor Representatives offer clients advice or services from Canter Companies or other non-related parties. The ultimate decision to retain these separate services remains within the sole discretion of the client. Clients should be aware that these services involve a conflict of interest due to the additional compensation that will be received in connection with the transaction. Canter Wealth addresses this conflict of interest by requiring Associates to disclose the relationships to clients, by making recommendations that are in each client's best interests as a fiduciary, and by providing fulsome disclosure in this brochure. Associates satisfy this requirement by advising clients of the nature of the transaction or relationship, by noting their role in the transaction and by disclosing any compensation to be received by them in connection with the transaction (including commissions and trails, if applicable). The acceptance of real estate commissions by Advisor Representatives of Canter Wealth presents a conflict of
interest and can give Canter Wealth or its Advisor Representatives an incentive to recommend that clients receive real estate services through real estate agencies of whom certain of its Advisor Representatives are agents due to the compensation such Advisor Representatives will receive, rather than on a client's needs. Canter Wealth
mitigates this conflict by placing client interests first, always.
CRS (Client Relationship Summary) - RIA
Click below to view James Anthony Mellon'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: 2019
Experience
Current
March 30, 2018 - Present
CANTER WEALTH
Office #1: 7825 Fay Avenue Suite 140, La Jolla, CA 92037RIA
CRD#: 167828
La Jolla, CA
Past
July 19, 2016 - November 16, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
PORTLAND, OR
Past
July 19, 2016 - November 16, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Portland, OR
Past
July 4, 2016 - November 16, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
PORTLAND, OR
Past
March 28, 2014 - January 25, 2016
FISHER INVESTMENTS
RIA
CRD#: 107342
CAMAS, WA
Past
February 8, 2013 - January 22, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WELLESLEY, MA
Past
May 23, 2012 - January 22, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WELLESLEY, MA
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".
CW
CANTER WEALTH
CANTER PRIVATE WEALTH MANAGEMENT | TAX & RETIREMENT EDUCATION | D/B/A CANTER WEALTH | CANTER WEALTH | CANTER STRATEGIC WEALTH MANAGEMENT, LLC
CRD#: 167828 / SEC#: 801-117802
RIA
Registered Investment Advisory firm - (12/17/2019 Approved)California
Registered Investment Advisory firm - (2/13/2021 Terminated)Texas
Registered Investment Advisory firm - (1/14/2021 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
California(3/30/2018)
IAR
Texas(7/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CANTER WEALTH
CANTER PRIVATE WEALTH MANAGEMENT | TAX & RETIREMENT EDUCATION | D/B/A CANTER WEALTH | CANTER WEALTH | CANTER STRATEGIC WEALTH MANAGEMENT, LLC
CRD#: 167828 / SEC#: 801-117802
RIA
Registered Investment Advisory firm - (12/17/2019 Approved)California
Registered Investment Advisory firm - (2/13/2021 Terminated)Texas
Registered Investment Advisory firm - (1/14/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7825 Fay Avenue Suite 140, La Jolla, CA 92037
Mailing Address
Phone number
(858) 812-7550
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 258 |
| AUM (Assets Under Management) | $ 275,846,754 |
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.
