James Clifford, financial advisor Brewer ME
73 score

James Clifford

CRD Number: 1419478
Current Firm: Royal Fund Management, LLC

James Clifford (CRD# 1419478) is an Investment Advisor Representative working at Royal Fund Management, LLC in Brewer, ME and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Royal Fund Management, LLC Brewer, ME May 2013 - Current 3
Lifestyle Financial Solutions Brewer, ME Dec 1999 - Current 17
American Elite Retirement, LLC West Des Moines, IA Mar 2011 - May 2013 2
Resource Horizons Group LLC Marietta, GA Dec 2009 - Mar 2010 < 1
Resource Horizons Investment Advisory Marietta, GA Dec 2009 - Mar 2010 < 1
Investor Capital Corp Lynnfield, MA Dec 1997 - Dec 2009 12
Investors Capital Corp. Lynnfield, MA Dec 1997 - Dec 2009 12
The Estate Planning & Investment Group Brewer, ME Oct 2004 - Dec 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1985
S65 NASAA Investment Advisors Law Examination Aug 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for James L. Clifford
Phone Number: 352-750-1637
Registered State(s):
  • FL
  • ME
By the Numbers
  • Total Assets Under Management
    214
    MILLIONS
  • Total Number of Accounts
    2,981
    ACCOUNTS
  • Average Account Value
    $71,682
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AR, AZ, CA, CO, CT, DC, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NY, OH, OK, PA, SC, TN, TX, VA, WA, WI, WV

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BADGES
73

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