James Rodgers
James Rodgers is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Charlotte, NC, with 8 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
620 S Tryon St, Charlotte, NC, 28255
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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 agent for B. Riley Wealth Insurance, selling life insurance and annuities, dedicating a few hours per week to this. He also operates JBT Wealth Management as a DBA for his financial securities business through B. Riley Wealth Management, dedicating full-time hours to this.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
B. Riley Wealth ManagementBroker
B. Riley Wealth Advisors, INC.
National Securities CorporationBroker
Equitable Advisors, LLC
Equitable Advisors, LLCBroker
State Registrations52 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.