Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rohn is an investment advisor representative with Ameriprise Financial Services, LLC and has been in the financial services industry since November 2012. James is registered with the state of California and Texas. James has a Series 7, Series 66 and Series 3 license and has a Certified Financial Planner designation. James has previously been registered with E*TRADE Securities LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and EDWARD JONES. James has also been a Board Member at Rohn since June 2024.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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CA
08/14/2024 - Present
Ameriprise Financial Services, LLC (Campbell CA)
CA
01/07/2022 - 06/05/2024
EDWARD JONES (Sunnyvale CA)
NY
05/18/2021 - 10/29/2021
T3 TRADING GROUP, LLC (NEW YORK NY)
CA
01/15/2019 - 05/11/2021
E*TRADE SECURITIES LLC (Menlo Park CA)
CA
03/28/2018 - 12/19/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PALO ALTO CA)
NM
11/12/2014 - 04/21/2016
THORNBURG SECURITIES CORPORATION (SANTA FE NM)
WA
08/01/2014 - 11/07/2014
LEADER CAPITAL CORP. (VANCOUVER WA)
TX
07/30/2011 - 07/14/2014
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
NY
03/15/2010 - 02/17/2011
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
BOTH
Issued 03/26/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/22/2021
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/2010
Series 3 - National Commodity Futures Examination
BC
Issued 03/12/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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