Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Charles Brocke is a financial professional with over 40 years of experience in the financial services industry. James is currently registered with MML Investors Services, LLC and holds a Series 7, 63, and SIE license, along with a Series 00 principal designation. James has also obtained the Certified Financial Planner designation. James is a registered investment advisor in Indiana and Texas, and holds a Series 63 license in Florida, Louisiana, South Carolina, and Texas. James is also a licensed life and health insurance agent in Indiana. James' experience includes working for a number of firms, including Titan Capital Corporation, WZW Financial Services, Inc., Universal Heritage Investments Corporation, ETI Investment Corporation, Financial Service Corporation of America, Fundamental Service Corporation, and F I Dupont Glore Forgan & Co.
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.
Asset allocation programs
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.
Solicitors fees
1
2
IN
10/22/2010 - Present
MML Investors Services, LLC (Indianapolis IN)
NA
02/05/1985 - 11/23/1985
TITAN CAPITAL CORPORATION
NA
12/26/1979 - 02/11/1985
WZW FINANCIAL SERVICES, INC.
NA
09/01/1977 - 12/27/1979
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
NA
05/13/1975 - 09/19/1977
ETI INVESTMENT CORPORATION
NA
11/02/1972 - 06/05/1975
FINANCIAL SERVICE CORPORATION OF AMERICA
NA
11/02/1972 - 04/15/1974
FUNDAMENTAL SERVICE CORPORATION
NA
12/26/1967 - 12/30/1972
F I DUPONT GLORE FORGAN & CO
BC
Issued 12/14/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/21/1975
Series 00 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1966
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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