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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Peter Healy is an investment advisor representative who has been active in the industry since November 2, 1985. James Healy is currently registered with Eagle Strategies LLC, and has previously been affiliated with Thrivent Investment Management Inc., Wachovia Securities, LLC, Piper, Jaffray & Hopwood Incorporated, and PaineWebber Incorporated. James Peter Healy has a total of 2 state exams, 3 product exams, and 1 principal exam. James Healy specializes in Portfolio Management for Individuals, Financial Planning, Pension Consulting, Educational Seminars, and Publication of Periodicals. James Healy is currently registered in Arizona, District of Columbia, Florida, Illinois, Texas, Washington and Wisconsin. James Healy is also registered as an investment advisor representative in Texas and Wisconsin.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
WI
01/23/2020 - Present
Eagle Strategies LLC (MILWAUKEE WI)
WI
04/28/2008 - 12/19/2019
THRIVENT INVESTMENT MANAGEMENT INC. (OCONOMOWOC WI)
WI
10/12/1990 - 11/06/2006
WACHOVIA SECURITIES, LLC (WAUKESHA WI)
MN
11/10/1986 - 10/24/1990
PIPER, JAFFRAY & HOPWOOD INCORPORATED (MINNEAPOLIS MN)
NA
04/18/1984 - 11/28/1986
PAINEWEBBER INCORPORATED
IA
Issued 6/30/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/8/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/10/1984
Series 3 - National Commodity Futures Examination
BC
Issued 4/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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