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James Michael Frawley

Westside Investment Management, LLC

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About James Michael Frawley

James Frawley has been a registered representative for 26 years. James is currently registered with Westside Investment Management, LLC. James has been with LPL Financial for 19 years and has also worked with Westside Investment Management, Inc. James has an active Series 63, Series 24, and SIE. James is also a Chartered Financial Consultant. James works with individuals, high net worth individuals, charitable organizations, and pension and profit-sharing plans.

Firm Information

James Frawley is currently registered with Westside Investment Management, LLC. Westside Investment Management, LLC is a Santa Monica, CA-based registered investment advisor with over $659 million in regulatory assets under management. The firm provides financial planning, portfolio management for individuals and businesses, and selection of other advisers for a wide range of clients including individuals, businesses, pension and profit-sharing plans, and charitable organizations.
Westside Investment Management, LLC

2444 WILSHIRE BLVD

SANTA MONICA, CA 90403

$659.44M

Assets Under Management

Not reported

Total Clients

8

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Frawley’s Registration & Firm History

CA

09/07/2010 - Present

Westside Investment Management, LLC (SANTA MONICA CA)

MN

07/28/1997 - 04/29/2004

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

07/28/1997 - 04/29/2004

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 05/05/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/30/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/28/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for James Michael Frawley. Review regulatory record here.
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