James Locke, financial advisor Cedar Rapids IA
70 score

James Locke

CRD Number: 6072866
Current Firm: Voya Financial Advisors, Inc.

James Locke (CRD# 6072866) is an Investment Advisor Representative working at Voya Financial Advisors, Inc. in Cedar Rapids, IA and has over 4 years of experience in the finance industry.

Similar Advisors
James Wachendorf, financial advisor Cedar Rapids IA
James C. Wachendorf
CRD# 604174
Nations Financial Group, Inc.
Score
101
Similar Advisors
Nathan Fisher, financial advisor Cedar Rapids IA
Nathan W. Fisher
CRD# 4456780
Raymond James Financial Services Advisors, Inc.
Score
100
Similar Advisors
Brian Stein, financial advisor Cedar Rapids IA
Brian G. Stein
CRD# 4117327
Morgan Stanley
Score
100
Company Name Location Dates Years
Locke Financial Planning, LLC Cedar Rapids, IA Feb 2015 - Current 1
Vinton Shellsburg High School Vinton, IA Nov 2014 - Current 2
Voya Financial Advisors Cedar Rapids, IA Sep 2014 - Current 2
Ing Financial Partners Inc. Cedar Rapids, IA Aug 2012 - Sep 2014 2
Unemployed Cedar Rapids, IA Apr 2012 - Aug 2012 < 1
General Nutrition Center Cedar Rapids, IA May 2010 - Apr 2012 1
Amway Corp Cedar Rapids, IA May 2011 - Dec 2011 < 1
Coe College Cedar Rapids, IA Sep 2008 - Sep 2011 3
Pioneer Hybrid International Dysart, IA Jul 2009 - Aug 2009 < 1
Pizza Hut Inc. Minneapolis, MN Apr 2008 - Aug 2008 < 1
Minneapolis South Sr High Minneapolis, MN Sep 2004 - May 2008 3
True Value Hardware Minneapolis, MN Nov 2006 - Apr 2008 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2012
S65 NASAA Investment Advisors Law Examination Jan 2013
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for James H. Locke
Phone Number: 1-800-356-2906
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    9,298
    MILLIONS
  • Total Number of Accounts
    59,441
    ACCOUNTS
  • Average Account Value
    $156,432
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
  • 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, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from James Locke and other advisors.
BADGES
70

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.