James Kevin Waninger

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2005 → 12/2019
  Ameriprise Financial Services, Inc.
  Tell City, IN
• 12/2019 → Present
  Commonwealth Financial Network
  Waltham, MA
• 12/2019 → Present
  Onyx Private Wealth
  Tell City, IN

Previous Registrations

• 1998-12-14 → 2019-12-11
  Ameriprise Financial Services, Llc
  Tell City, IN

Other Businesses

1. Fixed insurance sales; as of 12/06/2019; less than 5% time spent during business hours; conducted at branch location; Investment related. 2. Co owner, Dreyling & Waninger, LLC, an entity created for the purpose of owning branch office real estate at 1009 Main Street, Tell City, IN as of 12/06/2019; less than 1% time spent during business hours; Conducted at branch; Investment related. 3. Board Member with Perry County Sheriff's Merit Board; Located at 2211 Herrman St Tell City, IN 47586, as of 6/15/2022; 0% of time spent during business hours; Not Conducted at branch location; Not Investment related. 4. Co-Owner, Listen Up, LLC, an entity created for the purpose of buying and managing commercial real estate in Tell City, IN, as of 03/02/2023; 0% of time spent during business hours; Not Conducted at branch; Investment related. 5. Co-owner, JMAK, LLC; an entity created for the purpose of buying and managing real estate in Tell City, IN; as of 9/15/2023; Less than 1% of time spent during business hours; No conducted at branch; Investment related. 6. Owner & President, Onyx Private Wealth, Inc.; a private entity established to facilitate securities, advisory, and insurance business; as of 12/20/2024; 100% time spent during business hours; Conducted at branch; Investment related.

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-11-30

Designations

• Certified Financial Planner