Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rotter is a financial advisor registered with LPL Financial LLC and has been in the industry since 1990. James has a wide range of experience in the financial services industry, having worked with several firms before joining LPL Financial LLC. James is registered in several states and holds multiple licenses including Series 6, 7, 63 and 65. James is also a Registered Representative and Investment Advisor Representative.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
02/14/2018 - Present
LPL Financial LLC (CHESTERFIELD MO)
MO
01/02/2015 - 02/14/2018
INVEST FINANCIAL CORPORATION (O'FALLON MO)
MO
10/31/2013 - 12/17/2014
U.S. BANCORP INVESTMENTS, INC. (LAKE SAINT LOUIS MO)
MO
04/17/1993 - 11/04/2013
COMMERCE BROKERAGE SERVICES, INC. (ST. PETERS MO)
MO
09/09/1991 - 04/22/1993
CUTTER AND COMPANY BROKERAGE, INC. (BALLWIN MO)
NJ
10/15/1990 - 08/30/1991
FIRST INVESTORS CORPORATION (EDISON NJ)
IA
Issued 07/02/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/12/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Rotter is the right advisor for you? Invested Better is here to help.
