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James Anthony Mellon

James A. Mellon

CANTER WEALTH
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 5988957
James Anthony Mellon

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony Mellon's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Start date: 2019

Experience

Current

March 30, 2018 - Present

CANTER WEALTH

Office #1: 7825 Fay Avenue Suite 140, La Jolla, CA 92037
RIA
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
RR
Series 63
Date: 7/12/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/19/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/16/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2016
General Securities Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CANTER WEALTH - FORM ADV 2A (5/20/2025)

Regulatory assets under management

Total Number of Accounts258
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.

Company Information

CANTER WEALTH

CRD#: 167828La Jolla, CA 92037

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