James Howard, financial advisor Albuquerque NM
96 score

James Howard

CRD Number: 1777319
Current Firm: Ulrich Investment Consultants

James Howard (CRD# 1777319) is an Investment Advisor Representative working at Ulrich Investment Consultants in Albuquerque, NM and has over 30 years of experience in the finance industry. James Howard 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.

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Professional Designations
Company Name Location Dates Years
Estate Strategies, Inc. Spokane, WA Jan 1997 - Current 21
Pinkerton Retirement Specialists, LLC Coeur D'alene, ID Feb 2014 - Oct 2017 3
Lpl Financial, LLC Spokane, WA Sep 2009 - Sep 2014 5
Abridge Partners, LLC Spokane, WA Oct 2007 - Apr 2014 6
Associated Securities Corp Spokane, WA Apr 2009 - Sep 2009 < 1
Fsc Securities Corporation Spokane, WA Jan 1998 - Apr 2009 11
Strategic Insurance Services, Inc. Spokane, WA Jan 1998 - Feb 2009 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1988
S65 NASAA Investment Advisors Law Examination Jul 1994
Contact Info for James D. Howard
Phone Number: 505-224-9100
Firm Website: http://www.ulrichcg.com
Registered State(s):
  • WA
By the Numbers
  • Total Assets Under Management
    713
    MILLIONS
  • Total Number of Accounts
    95
    ACCOUNTS
  • Average Account Value
    $7,500,793
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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)
Types of Clients
Registered States

AZ, CA, ID, NM, TX, WA

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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