Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Rogers is a financial advisor in Scottsdale, Arizona. James has been a Registered Representative since July of 2000. James is registered to provide investment advice in Arizona. James has previously worked at SagePoint Financial, Inc. as well as Charles Schwab & Co., Inc., and Woodbury Financial Services, Inc. James is currently associated with Osaic Wealth, Inc.. James offers investment advisory services such as financial planning, educational seminars, and selection of other advisors. James also offers portfolio management services for individuals and businesses.
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.
A percentage of the total value of assets under management is charged.
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AZ
08/08/2012 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
GA
02/06/2023 - 08/23/2024
TRIAD ADVISORS LLC (ATLANTA GA)
NE
02/06/2023 - 06/14/2024
SECURITIES AMERICA, INC. (LAVISTA NE)
MN
06/19/2014 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
08/08/2012 - 11/03/2023
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
07/25/2012 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
05/02/2007 - 10/05/2011
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
AZ
03/01/2007 - 04/16/2007
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
GA
09/29/2004 - 07/06/2005
WORLD GROUP SECURITIES, INC. (DULUTH GA)
AZ
07/24/2000 - 06/29/2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (SCOTTSDALE AZ)
CT
11/09/1998 - 08/03/2000
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
BC
Issued 11/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/23/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/07/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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