James Herlocker (CRD# 858348) is an Investment Advisor Representative working at Oxley Wealth Management, LLC in Cottonwood Heights, UT and has over 42 years of experience in the finance industry. James Herlocker 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.
CRD# 4683570
Cetera Investment Advisers LLC
CRD# 1870699
Five Seasons Financial Planning LLC
CRD# 3037835
Rock House Financial
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Fortune Financial Services, Inc. | Monaca, PA | Jan 2019 - Current | 5 |
| Oxley Wealth Management, LLC | Cottonwood Heights, UT | Sep 2018 - Current | 5 |
| Soft Paws Management, LLC | Sandy, UT | Mar 2018 - Current | 6 |
| James Herlocker Dba The Center For Financial Planning | Cottonwood Heights, UT | Aug 1981 - Current | 42 |
| Cetera Advisor Networks LLC | El Segundo, CA | Aug 1996 - Dec 2018 | 22 |
| Cetera Advisor Networks LLC | El Segundo, CA | Mar 1987 - Dec 2018 | 31 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Dec 1981 |
- UT
-
Total Assets Under Management12MILLIONS
-
Total Number of Accounts90ACCOUNTS
-
Average Account Value$137,011
- A percentage of assets under your management
- 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)
UT
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