Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carroll has been in the financial services industry since 1982 and has been with Geneos Wealth Management, Inc. since 2006. James holds a series of licenses including Series 63, 24, 6TO, 22TO, SIE, 7, 62 and 2. James has a passion for working with High Net Worth Individuals, Individuals Other Than High Net Worth, Corporations or Other Businesses and Charitable Organizations. James is also a Chartered Financial Consultant. James's office is located in Englewood, Colorado. James has a strong commitment to providing clients with individualized financial planning and investment management services. James is dedicated to helping clients achieve their financial goals and objectives.
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.
1
2
CO
02/09/2021 - Present
Geneos Wealth Management, Inc. (Englewood CO)
NY
02/05/1992 - 08/31/2006
HORNOR, TOWNSEND & KENT, INC. (ALBANY NY)
NA
09/29/1982 - 01/31/1992
MONARCH SECURITIES, INC.
NA
06/19/1983 - 11/01/1983
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BC
Issued 10/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2005
Series 7 - General Securities Representative Examination
BC
Issued 07/16/1994
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 08/12/1975
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
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