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James E Roberts

Investment Adviser Representative at INTENTIONAL

Fort Mill, SCCRD #5401304Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
19 yrs
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/11/2008
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/20/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 to $1,000,0001.50%
$1,000,001 - $2,000,0001.25%
$2,000,001 - $5,000,0000.85%
$5,000,001 - $10,000,0000.65%
$10,000,001 - $20,000,0000.40%
$20,000,001+0.25%
Source

Intentional Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INTENTIONALCurrent
3/16/2022Fort Mill, SC
CIC WEALTH, LLC
3/18/20193/9/2022Rockville, MD
COMMONWEALTH FINANCIAL NETWORK
6/27/20163/5/2019Bethesda, MD
CETERA ADVISORS LLC
9/25/20126/27/2016Boyds, MD
PRUDENTIAL FINANCIAL PLANNING SERVICES
9/6/20129/24/2012Charlotte, NC
LPL FINANCIAL LLC
3/12/20088/24/2012Bethesda, MD

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at INTENTIONAL

2 other advisors in the directory

View INTENTIONAL firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James E Roberts has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James E Roberts - Financial Advisor in Fort Mill, SC | AdvisorFinder