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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 in Excelsior, Minnesota. James has been in the industry for over 30 years and currently is registered as an Investment Advisor Representative with TLG Advisors, Inc. James also has previous experience with RBC CAPITAL MARKETS, LLC, DOUGHERTY & COMPANY LLC, DOUGHERTY DAWKINS LLC, VOYAGEUR INVESTMENTS, INC., and MARQUETTE FINANCIAL SERVICES, INC.. James is a registered representative of TLG Advisors, Inc. and holds Series 7, 63, 53 and 65 licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Placement of institutional funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
01/02/2014 - Present
TLG Advisors, Inc. (Excelsior MN)
MN
12/11/2000 - 07/15/2011
RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)
MN
09/30/1997 - 12/08/2000
DOUGHERTY & COMPANY LLC (MINNEAPOLIS MN)
MN
05/02/1997 - 09/30/1997
DOUGHERTY DAWKINS LLC (MINNEAPOLIS MN)
NA
01/15/1993 - 05/13/1997
VOYAGEUR INVESTMENTS, INC.
NA
06/24/1991 - 01/04/1993
MARQUETTE FINANCIAL SERVICES, INC.
IA
Issued 09/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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