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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 Tolbert is a financial advisor who has been in the industry since 1981. James is currently registered with B. Riley Wealth Advisors, Inc. in Texas. James has experience working with individuals, corporations, high-net-worth individuals, charitable organizations, pension and profit sharing plans, and other institutions. James has been working for B. Riley Wealth Advisors, Inc. since 2022. James has also worked for National Securities Corporation, Wunderlich Securities, Inc., Sterne, Agee & Leach, Inc., RBC Capital Markets Corporation, UBS Financial Services Inc., and Prudential Securities Incorporated. James specializes in portfolio management for individuals and businesses, financial planning, and pension consulting.
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.
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.
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2
TX
12/01/2017 - Present
B. Riley Wealth Advisors, Inc. (THE WOODLANDS TX)
TX
08/24/2015 - 07/22/2022
NATIONAL SECURITIES CORPORATION (THE WOODLANDS TX)
IL
01/17/2014 - 08/24/2015
WUNDERLICH SECURITIES, INC. (ST. CHARLES IL)
IL
04/15/2013 - 01/27/2014
STERNE, AGEE & LEACH, INC. (CHICAGO IL)
IL
02/12/2010 - 04/16/2013
NATIONAL SECURITIES CORPORATION (LOMBARD IL)
IL
12/07/2004 - 02/26/2010
RBC CAPITAL MARKETS CORPORATION (OAKBROOK TERRACE IL)
NJ
05/11/1994 - 12/16/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/21/1981 - 05/04/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/13/1981 - 11/06/1981
DEAN WITTER REYNOLDS INC.
IA
Issued 07/14/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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