Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stockman is a financial advisor with over 10 years of experience in the financial services industry. James currently works at Independent Financial Group, LLC, where he provides a variety of financial services, including financial planning, portfolio management, and pension consulting. James has a broad range of experience having worked for several firms including Transamerica Capital, Inc. and GWFS Equities, Inc.. James holds a Series 7, Series 63 and Series 66 licenses. James is committed to helping clients achieve their financial goals and has a strong track record of success.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
09/06/2024 - Present
Independent Financial Group, LLC (HARTFORD CT)
CO
10/15/2018 - 03/08/2024
TRANSAMERICA CAPITAL, INC. (DENVER CO)
CO
12/06/2017 - 06/13/2018
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
11/10/2015 - 06/16/2017
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
CO
12/24/2013 - 10/20/2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)
BOTH
Issued 07/08/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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