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James Francis Marshall

SPECTRUM INVESTMENT ADVISORS, INC.·MEQUON, Wisconsin
SIE, Series 6, Series 22, Series 63, Series 65Clean record26 years registeredSPECTRUM INVESTMENT ADVISORS, INC.
6329 WEST MEQUON ROAD, MEQUON, WI 53092CRD# 1214383Firm CRD# 108669

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Francis Marshall · MEQUON, WI
Registration
CRD #1214383 · SPECTRUM INVESTMENT ADVISORS, INC. · 26 years registered
Brand Profile
Not yet started
01

Career History

SPECTRUM INVESTMENT ADVISORS, INC.
Dec 1999 – present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 22
Series 63
Series 65
Registration record
First registered · December 13, 1999
Years registered · 26
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SPECTRUM INVESTMENT ADVISORS, INC.
CRD 108669 · SEC 801-56966
AUM
$725M
Regulatory assets under management
Employees
22
986 client accounts
Services offered by SPECTRUM INVESTMENT ADVISORS, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at SPECTRUM INVESTMENT ADVISORS, INC. →
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05

Frequently Asked Questions

What services does James Francis Marshall offer?
James Francis Marshall specializes in Financial Planning, Investment Management. Contact their office in MEQUON, Wisconsin for a consultation.
What are James Francis Marshall's credentials?
James Francis Marshall is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Francis Marshall located?
James Francis Marshall is based in MEQUON, Wisconsin, working with SPECTRUM INVESTMENT ADVISORS, INC.. Their office serves clients in the MEQUON metropolitan area and surrounding communities.
How does James Francis Marshall charge for services?
James Francis Marshall's firm is compensated through percentage of aum, hourly charges, subscription fees, other: by plan participant flat fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SPECTRUM INVESTMENT ADVISORS, INC.?
SPECTRUM INVESTMENT ADVISORS, INC. has approximately 22 employees and manages $725M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at SPECTRUM INVESTMENT ADVISORS, INC.

Manuel Nmn Rosado
MEQUON, WI
Brian Eugene White
MEQUON, WI
CFP
Cheryl Ann Besaw
MEQUON, WI
John Frederic Schaetzel
MEQUON, WI
Jonathan James Marshall
MEQUON, WI
Matthew Paul Demet
MEQUON, WI

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