James GraciaCRD Number: 1951914
Current Firm: U.s. Bancorp Investments, Inc.
James Gracia (CRD# 1951914) is an Investment Advisor Representative working at U.s. Bancorp Investments, Inc. in Colorado Springs, CO and has over 28 years of experience in the finance industry.
Garrett Investment Advisors, LLC
Horizons Sustainable Financial Services, Inc.
Brooks Financial Planning
|U.s. Bancorp Investments, Inc.||Colorado Springs, CO||Mar 2010 - Current||8|
|Key Investment Services||Colorado Springs, CO||May 2009 - Mar 2010||< 1|
|Wachovia Securities, LLC||Colorado Springs, CO||Aug 2007 - May 2009||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1989|
|S65||NASAA Investment Advisors Law Examination||Oct 2000|
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:
- Customer Dispute
Total Assets Under Management6,171MILLIONS
Total Number of Accounts27,543ACCOUNTS
Average Account Value$224,036
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
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, WY