Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rockwell is a financial advisor at LPL Financial LLC. James has been in the financial services industry since 1999. James specializes in providing investment advisory services to individuals, businesses, and retirement plans. James is also a registered representative and investment advisor representative with LPL Financial.
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.
Consulting and other non-discretionary advisory services
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
ID
05/05/2020 - Present
LPL Financial LLC (GRANGEVILLE ID)
ID
09/20/2019 - 05/06/2020
CETERA ADVISOR NETWORKS LLC (GRANGEVILLE ID)
ID
10/22/2012 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (GRANGEVILLE ID)
ID
06/24/2005 - 10/30/2012
EK RILEY INVESTMENTS, LLC (GRANGEVILLE ID)
CA
05/17/2004 - 06/17/2005
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
WA
09/01/1999 - 05/17/2004
RAGEN MACKENZIE INVESTMENT SERVICES, LLC (SEATTLE WA)
IA
Issued 03/13/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Rockwell is the right advisor for you? Invested Better is here to help.
