James Estes (CRD# 2484236) is an Investment Advisor Representative working at Desert Wealth Management LLC in Palm Desert, CA and has over 29 years of experience in the finance industry. James Estes 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# 4445351
Morgan Stanley
CRD# 7008774
Raymond James & Associates, Inc.
CRD# 2965820
Fortem Financial Group, LLC
The CFP is the gold standard for financial professionals who perform comprehensive financial planning. CFPs must undergo rigorous exams and meet other requirements to obtain this designation.
Like the CFP, ChFCs take extensive coursework on a wide variety of financial planning topics. ChFCs actually take more coursework than CFPs, but are not required to prove their knowledge through a board examination.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Desert Wealth Management LLC | Palm Desert, CA | May 2018 - Current | 5 |
| Finra | Los Angeles, CA | Sep 2004 - Current | 19 |
| California State University | San Bernardino, CA | Sep 2004 - Dec 2022 | 18 |
| Alpha Wealth Management, LLC | San Jacinto, CA | Jul 2011 - May 2018 | 6 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1994 |
| S65 | NASAA Investment Advisors Law Examination | Feb 1998 |
- CA
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Total Assets Under Management36MILLIONS
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Total Number of Accounts54ACCOUNTS
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Average Account Value$668,127
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
CA
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