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James Bernard Brockett

Wells Fargo Advisors Financial Network, LLC

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About James Bernard Brockett

James Bernard Brockett is an investment advisor representative with Wells Fargo Advisors Financial Network, LLC, in Bethesda, Maryland. James has been in the industry since April 2017, has passed the Series 7, Series 66, and SIE exams, and is registered in 29 states including California, Florida, Maryland, and Texas. James's services include financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients.

Firm Information

James Brockett is currently registered with Wells Fargo Advisors Financial Network, LLC. Wells Fargo Advisors Financial Network, LLC is a Limited Liability Company headquartered in St. Louis, Missouri. Founded in 2003, the firm offers a range of investment advisory services to individual and institutional clients, including financial planning, portfolio management, and pension consulting. Wells Fargo Advisors Financial Network, LLC is registered with the SEC and in all 50 states and the District of Columbia. The firm manages over $154 billion in regulatory assets under management.
Wells Fargo Advisors Financial Network, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103

$154.19B

Assets Under Management

2,434

Total Clients

3,095

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Brockett’s Registration & Firm History

MD

11/19/2021 - Present

Wells Fargo Advisors Financial Network, LLC (BETHESDA MD)

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Licenses & Designations

BOTH

Issued 05/10/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/06/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Bernard Brockett.
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