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JB
ChFC
JB
ChFC

James Bey

Emerson Equity LLC
35 Years of Experience
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Bey is a ChFC-designated registered investment advisor at Emerson Equity LLC, based in Downers Grove, IL, with 35 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Insurance Planning, Investment Management. Their firm serves 679 clients with $330M in assets under management.

Emerson Equity LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
123 advisors
Number of Clients
679 clients
Average Client Portfolio
$483K average
Assets Under Management
$327.9M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.50%
$1M+2.25%

Fees are negotiable. The Advisor, as a registered Broker-Dealer, also receives 12b-1 fees for certain mutual fund transactions.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Preferred Wealth Management, LLC, 1431 Opus Place, Suite 110, Downers Grove, IL, 60515

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
April 2005
Final
Regulatory
January 2005
Final
Regulatory
February 2004
Final
Employment Separation After Allegations
August 2003
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James sells fixed insurance products as an owner/agent, dedicating about a quarter of his time to this activity. He also works as a financial advisor representative for Independent Wealth Network and markets securities and advisory services through other entities, spending additional time on these investment-related activities, and volunteers as a swim official.

Employment History
Current Registrations
Emerson Equity LLCBroker
January 2024 - Present · 2 yrs 3 mos
Independent Wealth Network, INC.
December 2017 - Present · 8 yrs 4 mos
Previous Registrations
Brokers International Financial Services, LLC.Broker
January 2018 - December 2023 · 5 yrs 11 mos
Kestra Advisory Services, LLC
April 2016 - December 2017 · 1 yr 8 mos
NFP Advisor Services, LLC
February 2006 - September 2016 · 10 yrs 7 mos
Kestra Investment Services, LLCBroker
January 2006 - December 2017 · 11 yrs 11 mos
NFP Securities, INC.
March 2004 - February 2005 · 11 mos
Steele Capital Management, INC.
January 2004 - August 2004 · 7 mos
NFP Securities, INC.Broker
September 2003 - February 2005 · 1 yr 5 mos
Robert W. Baird & CO. IncorporatedBroker
April 1996 - January 2002 · 5 yrs 9 mos
Northwestern Mutual Investment Services, LLCBroker
March 1989 - August 2003 · 14 yrs 5 mos
State Registrations13 states
AZCAGAILINMIMNMONYPASDTXWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.