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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Roberts is a financial advisor with Wells Fargo Advisors Financial Network, LLC. James Roberts has been in the financial services industry since 1997 and has experience with a variety of financial products and services. James Roberts holds Series 6, 7, 24, 63 and 65 licenses. James Roberts is currently registered with the state of California and Texas. James Roberts is also a registered principal with Wells Fargo Advisors Financial Network, LLC. James Roberts's previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, Bank of America Investment Services, Inc., and BA Investment Services, Inc. James Roberts provides investment advisory services to individuals, corporations, charitable organizations, and pension and profit-sharing plans. James Roberts's practice is located in Mammoth Lakes, California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/08/2022 - Present
Wells Fargo Advisors Financial Network, LLC (CAMARILLO CA)
CA
10/23/2009 - 04/12/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OXNARD CA)
CA
02/07/2001 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CAMARILLO CA)
CA
07/22/1997 - 06/30/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
IA
Issued 03/14/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/12/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2001
Series 7 - General Securities Representative Examination
BC
Issued 07/21/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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