Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Phillip Roberts is a registered investment advisor representative with Robert W. Baird & Co. Inc. James has been in the industry since October 2005. James is registered with the state of Indiana and Kentucky. James has a Series 66, Series 7, Series 10, Series 9, and SIE license. James has also held past registrations with J.J.B. HILLIARD, W.L. LYONS, LLC and Ameriprise Financial Services, Inc.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
IN
10/18/2019 - Present
Robert W. Baird & Co. Inc. (EVANSVILLE IN)
IN
09/16/2008 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (EVANSVILLE IN)
IN
10/21/2005 - 09/11/2008
AMERIPRISE FINANCIAL SERVICES, INC. (INDIANAPOLIS IN)
BOTH
Issued 11/17/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/10/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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