James VertichCRD Number: 1960620
Current Firm: Uhler And Vertich Financial Planners, LLC
James Vertich (CRD# 1960620) is an Investment Advisor Representative working at Uhler And Vertich Financial Planners, LLC in Fort Myers, FL and has over 22 years of experience in the finance industry. James Vertich 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.
Hbks Wealth Advisors
Riverglades Family Offices, LLC
Independent Financial Partners
|Gelbwaks Insurance Sales||Cape Coral, FL||Jul 2011 - Current||5|
|Raymond James Financial Services Advisors, Inc.||Fort Myers, FL||Jan 2010 - Current||7|
|Uhler And Vertich Financial Planners||Fort Myers, FL||Mar 2004 - Current||13|
|Raymond James Financial Services, Inc.||Fort Myers, FL||Jul 1993 - Current||23|
|Non- Variable Insurance||Ft. Myers, FL||Jul 1993 - Current||23|
|Brightest Horizons||Fort Myers, FL||Jan 2005 - Aug 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1995|
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 Management149MILLIONS
Total Number of Accounts384ACCOUNTS
Average Account Value$388,583
- 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)
FL, NC, TX
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