Haselkorn & Thibaut has initiated an investigation into James Witkowski, a broker and investment advisor based in Liberty, Missouri, affiliated with Cetera Advisor Networks (operating as JW Wealth Management). If you have worked with Mr. Witkowski or have concerns about your investments, you may benefit from understanding both his professional background and any known complaints. Our priority is safeguarding your financial interests, and our team offers free consultations to help you explore your legal options.
About James Witkowski – Cetera (JW Wealth Management), Liberty, MO
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James Witkowski (CRD# 4221931) is a financial advisor registered with Cetera, operating under the name JW Wealth Management in Liberty, Missouri. With experience spanning 25 years, he is licensed to operate in numerous states across the country. Currently, Mr. Witkowski holds his registrations as both a broker and an investment advisor, focusing on a broad range of investment solutions for his clients.
According to FINRA’s BrokerCheck and other publicly available records, Mr. Witkowski’s career details include:
- Current Firm: Cetera Advisor Networks, LLC (d/b/a JW Wealth Management)
- Location: Liberty, Missouri
- Years in Industry: 25
- CRD Number: 4221931
- Other Experience: Edward Jones, American Express Financial Advisors, IDS Life Insurance Company
- Licenses: Arizona, Arkansas, California, Florida, Iowa, Kansas, Missouri, Nebraska, New York, Ohio, South Carolina, Texas, Washington, Wisconsin
- Exams Passed: SIE (Securities Industry Essentials), Series 66, Series 7
Complaints and Disclosures Involving James Witkowski
As an investor, it is crucial to be aware of any disclosures or complaints involving your financial advisor. Here is a comprehensive summary based on both regulatory filings and web-based research as of December 2025:
| Type | Details |
|---|---|
| Investor Complaint (Pending, November 2025) |
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| Investor Complaint (2010) |
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| Employment Termination (2009) |
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It’s important to note that, according to the most current FINRA and SEC records reviewed (December 2025):
- No regulatory actions or enforcement orders have been filed against Mr. Witkowski
- No civil or criminal court matters have come up in background searches
- No reported bankruptcies or unresolved regulatory findings
- No additional investor-class arbitrations or class action settlements have been found by reviewing federal filings and investor forums
Potential Red Flags for Investors
- Pending Customer Complaint: A six-figure claim ($100,000) is currently pending, related to allegations of unsuitable investment recommendations and breaches of fiduciary duty. Investors should be aware that complaints of this nature may indicate issues with risk management, disclosure, or concentration of funds.
- Previous Allegations and Employment Termination: Although an earlier complaint was denied by the firm, the record of termination at a prior broker-dealer due to “unauthorized account activities and failing to report a client complaint” merits close attention. Termination for cause often signals compliance-related concerns that investors should not overlook.
- No Regulatory or Court Findings: To date, there are no official findings of wrongdoing or regulatory sanctions against James Witkowski. However, investors should always remain proactive and seek professional guidance if concerns arise regarding account performance or advisor conduct.
Transparency is vital when it comes to selecting and monitoring your financial advisor. Even a single unresolved investor complaint or red flag deserves attention—especially when they involve large claimed losses or concerns on suitability and oversight.
What Should Investors Do Next?
- Review your account statements and monitor for irregularities or unexpected performance swings.
- Document all communications and recommendations received from your advisor.
- Consult with experienced legal counsel if you suspect losses or believe your portfolio has been mishandled.
Haselkorn & Thibaut offers a no-obligation, confidential review for investors with concerns about James Witkowski, Cetera, or JW Wealth Management. Our firm has over 50 years of combined experience, a 98% success rate, and has secured millions on behalf of clients nationwide. There are no fees unless there is a recovery.
Contact Haselkorn & Thibaut – Help for Investors Nationwide
Have you experienced losses or suspect inappropriate investment practices related to James Witkowski or JW Wealth Management? Don’t wait. Contact Haselkorn & Thibaut today at 1-888-885-7162 for a free and confidential consultation. Our team is committed to helping investors nationwide pursue the recovery of their financial damages.
If you have concerns, take the first step toward protecting your financial future. Reach out now—help is available, and you have nothing to lose by getting answers and support from seasoned professionals.
