James Roberts, financial advisor San Ramon CA
81 score

James Roberts

CRD Number: 3095267
Current Firm: Park Avenue Securities LLC

James Roberts (CRD# 3095267) is an Investment Advisor Representative working at Park Avenue Securities LLC in San Ramon, CA and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Guardian Life Insurance San Ramon, CA Apr 2015 - Current 1
Park Avenue Securities LLC San Ramon, CA Apr 2015 - Current 1
Park Ave Securities San Franciso, CA Oct 2014 - Apr 2015 < 1
Guardian San Francisco, CA Oct 2014 - Apr 2015 < 1
Bank Of America, N.a. San Francisco, CA Apr 2013 - Oct 2014 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco, CA Apr 2012 - Oct 2014 2
Axa-advisors, LLC New York, NY Dec 2011 - Apr 2012 < 1
Nexusscott (nexus Capital) San Francisco, CA Apr 2008 - Sep 2011 3
Sharechive San Francisco, CA Apr 2003 - Mar 2008 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2012
S65 NASAA Investment Advisors Law Examination May 2012
S66 NASAA Uniform Combined State Law Examination Apr 2001
Disclosure Information

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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James S. Roberts
Phone Number: 1-888-600-4667
Registered State(s):
  • CA
  • FL
  • IL
  • NC
By the Numbers
  • Total Assets Under Management
    6,646
    MILLIONS
  • Total Number of Accounts
    39,311
    ACCOUNTS
  • Average Account Value
    $169,065
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
Types of Clients
Registered States

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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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