James Rockford
James Rockford is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Houston, TX, with 31 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
Four Chasewood, 20329 State Highway 249, Suite 150, Houston, TX, 77070
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Regulatory History (1)
Customer Dispute
May 2023Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Oppenheimer & CO., INC.Broker
Texas Capital Securities, INC.Broker
State Registrations19 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.