James Godwin, financial advisor Tucson AZ
83 score

James Godwin

CRD Number: 4456647
Current Firm: Royal Alliance Associates, Inc.

James Godwin (CRD# 4456647) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Tucson, AZ and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Gilman + Ciocia Tucson, AZ Feb 2003 - Current 13
Career Brokerage Tucson, AZ Feb 2003 - Current 13
Royal Alliance Associates, Inc. Tucson, AZ Feb 2003 - Current 13
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James P. Godwin
Phone Number: 800-821-5100 EXT. 5389
Registered State(s):
  • AZ
  • CO
  • HI
By the Numbers
  • Total Assets Under Management
    4,629
    MILLIONS
  • Total Number of Accounts
    19,113
    ACCOUNTS
  • Average Account Value
    $242,202
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Pension consulting services
  • 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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