James LockeCRD 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.
Nations Financial Group, Inc.
Raymond James Financial Services Advisors, Inc.
|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|
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
Total Assets Under Management9,298MILLIONS
Total Number of Accounts59,441ACCOUNTS
Average Account Value$156,432
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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
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