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VERIFIEDJames McGlone, CFP<sup>®</sup>, MSFS
KOM Wealth Management Group
3601 East Evergreen Drive
Suite 100
Appleton, WI 54913
920-733-3872
Where You Want To Be!
About KOM Wealth Management Group
Whether you desire to buy a business, a vacation home, are saving for education expenses or working hard toward a self sufficient retirement, we can recommend an investment strategy that reflects your individual investment needs.
We pursue goal based investment approaches, identifying the relationship between client's objectives, income, assets and liabilities to determine target performance for the portfolio rather than simply using arbitrary market benchmarks.
See Disclosures
General Information
Firm Start Year
2007
No. of Employees
10-19
CRD#
2563916
Firm CRD#
142682
Insurance License#
2336938
Name of Custodial Firm
Fidelity Institutional
States Licensed in
AZ, FL, IA, IL, MA, ME, MI, MN, NM, SC, & WI.
Years of Experience in Financial Services
34
Number of Years with Current Firm
19
Work Experience
Ameriprise Financial for 12 years. Founding partner of Kerntke Otto McGlone Wealth Management Group for 3 years.
Work with the following types of clients
Businesses, Individual Investors
Services
Investment Types
Insurance, Annuities, Stocks, Bonds, Options & Futures, Mutual Funds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Video Conference, Our Office, Phone
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
Have a clean record
Criminal Disclosures in Last 5 years
Have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CERTIFIED FINANCIAL PLANNER™ Certificant
Securities Licenses
Series 24, Series 7, Series 63
Insurance and Annuity Licenses
Long Term Care, Variable Life, Disability, Casualty, Property, Variable Annuity, Life, Health, Annuity
Firm Information
Firm's Number of Clients
600
Firm's Number of Planning Clients
409
Firm's Number of Managed Clients
400
Assets Managed by Firm
430 Million
Advisor's Number of Clients
150
Advisor's Number of Managed Clients
50
Advisor's Number of Planning Clients
100
Total Assets Under Management by Advisor
$250,000,00
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$100,000
Compensation Methods
Commissions, Flat Fee, Based on Assets, Hourly
Fee % Based on Assets
1%
Hourly Rate
$350
Flat Fee Rate
Negotiable
Minimum Fee Charged for Managed Accounts
Negotiable
Minimum Fee Charged for Hourly Planning Accounts
Negotiable
Minimum Fee Charged for Flat Fee Accounts
Negotiable
Disclosures
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SEC REGISTRATION:
Kerntke Otto McGlone Wealth Management Group is a Registered Investment Adviser with the United States Securities and Exchange Commission and pursuant to pertinent laws and regulations, may also maintain a "notice filing" with several other states.
Peter Kerntke, Michael Otto, James McGlone, & Jason McGlone are Investment Advisor Representatives of Kerntke Otto McGlone Wealth Management Group.
FINRA Registration
Peter Kerntke, Michael Otto, James McGlone, & Jason McGlone are Registered Representatives of Cambridge Investment Research, Inc. a Broker/Dealer, Member FINRA/SIPC.
Cambridge & Kerntke Otto McGlone Wealth Management Group are not affiliated.
Additional Detailed Disclosures
https://www.retirementplanning.net/disclosure/1821937/retirementplanning-KOM-Wealth-Management-Group-detailed-disclosure.html
Disclaimer
Kerntke Otto McGlone Wealth Management Group, a Registered Investment Advisor.