James Lee Adams

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:

Current Employers

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-07-02

PA RA
APPROVED

Since 2024-07-02

Branch Locations

100 Plaza Drive, Blandon, PA 19510 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Cadaret, Grant & Co., Inc.	Blandon	PA	09/2001	07/2024
Adams & Associates	Blandon	PA	09/2001	10/2021
Commonwealth Financial Network	Waltham	MA	07/2024	Present
Adams & Associates	Blandon	PA	07/2024	Present

09/2001 → 07/2024

Cadaret, Grant & Co., Inc.

Blandon, PA
09/2001 → 10/2021

Adams & Associates

Blandon, PA
07/2024 → Present

Commonwealth Financial Network

Waltham, MA
07/2024 → Present

Adams & Associates

Blandon, PA

Previous Registrations

2007-02-23 → 2024-07-03

Cadaret, Grant & Co., Inc.

Blandon, PA

Fleetwood, PA

West Reading, PA

Blandon, PA

Kutztown, PA

Temple, PA

Shoemakersville, PA

Blandon, PA

Other Businesses

Fixed insurance sales; as of 7/01/2024; 5% of time spent during business hours; Conducted at branch location; Investment related.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-09-12

S63 Uniform Securities Agent State Law Examination

1984-09-12

Designations

Certified Financial Planner
Chartered Financial Consultant

View on SEC IAPD