James Roberts, financial advisor Bethesda MD
96 score

James Roberts

CRD Number: 5401304
Current Firm: Commonwealth Financial Network

James Roberts (CRD# 5401304) is an Investment Advisor Representative working at Commonwealth Financial Network in Bethesda, MD and has over 8 years of experience in the finance industry. James Roberts has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Commonwealth Financial Network Waltham, MA Jun 2016 - Current < 1
Cetera Advisors LLC El Segundo, CA Jan 2013 - Jun 2016 3
Multi-financial Securities Corporation Denver, CO Sep 2012 - Dec 2012 < 1
The Prudential Insurance Company Of America Charlotte, NC Aug 2012 - Sep 2012 < 1
Pruco Securities, LLC Charlotte, NC Aug 2012 - Sep 2012 < 1
Linsco/private Ledger Corp. Rockville, MD Oct 2007 - Aug 2012 4
Sandy Spring Bank Rockville, MD Oct 2007 - Aug 2012 4
Uvest Financial Services Group, Inc. Charlotte, NC Aug 2007 - Oct 2007 < 1
Sandy Spring Bank Olney, MD Jul 2007 - Oct 2007 < 1
Healthy Directions, LLC Potomac, MD Jun 2005 - Jun 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2008
Contact Info for James E. Roberts
Phone Number: 781-736-0700
Registered State(s):
  • MD
By the Numbers
  • Total Assets Under Management
    52,073
    MILLIONS
  • Total Number of Accounts
    229,200
    ACCOUNTS
  • Average Account Value
    $227,194
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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