James Michael Rooker

Employer firm

Benjamin F. Edwards & Company, Inc. CRD 146936

$18.9B regulatory AUM 23 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Columbus, MS
• 11/2016 → 01/2021
  Wells Fargo Clearing Services, Llc
  Columbus, MS
• 01/2021 → Present
  Benjamin F. Edwards & Company
  Columbus, MS

Previous Registrations

• 2008-01-01 → 2021-01-19
  Wells Fargo Clearing Services, Llc
  Columbus, MS
• 2003-11-20 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Columbus, MS
  St. Louis, MO
  Columbus, MS

Exams

• S66 Uniform Combined State Law Examination
  2003-10-06
• S63 Uniform Securities Agent State Law Examination
  1988-12-07

Other Names

• Mike Rooker
• Rook Rooker
• J. Michael Rooker
• James Michael Rooker