James Holroyd is a CFP-designated registered investment advisor, based in Tacoma, WA, with 36 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Tacoma, WA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an independent insurance agent for various companies through Crump Insurance, dedicating about 10-20% of his time. He also utilizes a DBA, Union Financial, for retirement planning, spending a few hours per week. Additionally, James works full-time as an advisory representative of an RIA, CIRA.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
New England SecuritiesBroker
Metlife Securities INC.
Metlife Securities INC.Broker
Allstate Financial Services, LLCBroker
Farmers Financial Solutions, LLCBroker
Investors Brokerage Services, INC.Broker
Sunamerica Securities, INC.Broker
Financial Network Investment CorporationBroker
Ids Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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