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James Matthew Conole

Root Financial Partners

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About James Matthew Conole

James Matthew Conole is an investment advisor representative at Root Financial Partners. He is a Certified Financial Planner™ professional with over 10 years of experience in the industry. James has worked in the financial services industry since 2012, with previous experience at First Allied Securities, Inc. and PURSHE KAPLAN STERLING INVESTMENTS. James holds the Series 7 and Series 66 licenses. He is currently registered with the state of California, Florida, New York, and Texas. Root Financial Partners is a Registered Investment Advisor that provides financial planning, pension consulting, and portfolio management services.

Firm Information

James Conole is currently registered with Root Financial Partners. Root Financial Partners is an investment advisor headquartered in ENCINITAS, CA. The firm has 9 investment advisor representatives and manages $399,221,544 in regulatory assets under management. Root Financial Partners provides financial planning, portfolio management for individuals, selection of other advisors, and pension consulting services to individuals, high-net-worth individuals, and pension and profit-sharing plans.
Root Financial Partners

1106 2ND STREET

ENCINITAS, CA 92024

$399.22M

Assets Under Management

Not reported

Total Clients

14

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 individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

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

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James Conole’s Registration & Firm History

CA

05/22/2018 - Present

Root Financial Partners (ENCINITAS CA)

CA

04/01/2016 - 08/03/2017

PURSHE KAPLAN STERLING INVESTMENTS (Calsbad CA)

CA

08/31/2012 - 04/01/2016

FIRST ALLIED SECURITIES, INC. (CARLSBAD CA)

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Licenses & Designations

BOTH

Issued 08/28/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/03/2017

SIE - Securities Industry Essentials Examination

BC

Issued 08/29/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Matthew Conole.
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