James Cantrell has been President / Chief Compliance Officer of Financial Strategies since March 1993, is a control person of the firm and directly owns 75% or more of it.
Financial Strategies, Inc. is a Brookfield, WI firm with $150M under management, 199 clients and 4 advisers in one office, as of its September 2026 filing.
Jim Cantrell is President & Senior Financial Advisor of Financial Strategies, Inc., based in Brookfield, Wisconsin. He started his financial career in 1989 and formed Financial Strategies, Inc. in 1991. He served on the national board of the National Association of Personal Financial Advisors from 2015 until September 2018, and as President of the board of the Wisconsin Parkinson Association from 2019 to 2021.
- Financial Strategies, Inc.Current– present · 31 yearsBrookfield, WI · Adviser representative · Firm CRD 113097
Professional designations
Listed by Financial Strategies
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
James Cantrell is registered as an investment adviser representative in 2 states. The first approvals date from March 1995; the most recent is Texas, in January 2025.
- TexasSince 2 January 2025
- WisconsinSince 27 March 1995
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 24 October 1990 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 September 1990 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 August 1990 |
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- James Douglas Cantrell
- CRD
- 2087445
- Firm
- Financial Strategies · CRD 113097
- Role
- President / Chief Compliance Officer
- Office
- 13555 BISHOPS COURT SUITE 340, Brookfield, WI 53005
- Registration
- Investment adviser registration
- In the industry since
- March 1995
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- financialstrategiesinc.com
Where does James Cantrell work?
James Cantrell has been President / Chief Compliance Officer of Financial Strategies, Inc. since March 1993, and is a control person of the firm.
Is James Cantrell a financial advisor?
Yes. James Cantrell has a current investment-adviser registration in Texas and Wisconsin, through Financial Strategies since March 1995.
How many years of experience does James Cantrell have?
James Cantrell has 31 years in the financial industry, since March 1995, across 1 adviser firm.
What exams has James Cantrell passed?
James Cantrell has passed 3 licensing exams: the Series 63, Series 6 and Series 7. The earliest, the Series 63, was passed in August 1990.
Where is James Cantrell based?
James Cantrell’s registered office is in Brookfield, WI.
Is James Cantrell registered with FINRA?
No. James Cantrell has no current broker registration.
Is James Cantrell a CFP?
Financial Strategies lists James Cantrell with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify James Cantrell’s record?
Search CRD 2087445 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Cantrell’s full registration record.