Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kyle Rockford is a financial advisor in HOUSTON, TX and has been in the industry since 1994. James Kyle is a registered representative of Stifel, Nicolaus & Company, Inc. with offices in HOUSTON, TX. Previously, James Kyle worked at Wachovia Securities, LLC, A. G. Edwards & Sons, Inc., Oppenheimer & Co., Inc. and Texas Capital Securities, Inc.. James Kyle has passed the Series 7, Series 31 and SIE exams. James Kyle is also a Certified Financial Planner.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
04/14/2009 - Present
Stifel, Nicolaus & Company, Inc. (HOUSTON TX)
TX
01/01/2008 - 04/16/2009
WACHOVIA SECURITIES, LLC (SPRING TX)
TX
02/15/1996 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SPRING TX)
NY
02/08/1995 - 03/13/1996
OPPENHEIMER & CO., INC. (NEW YORK NY)
TX
05/25/1994 - 02/08/1995
TEXAS CAPITAL SECURITIES, INC. (HOUSTON TX)
BC
Issued 05/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 05/02/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Rockford is the right advisor for you? Invested Better is here to help.
