James Andrew Roberts

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-04-08
TX	RA	APPROVED	2022-04-08

CA RA
APPROVED

Since 2022-04-08
TX RA
APPROVED

Since 2022-04-08

Branch Locations

Mammoth Lakes, CA • United States

400 W Ventura Blvd Ste 105, Camarillo, CA 93010 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Oxnard	CA	05/2016	04/2022
Bank Of America, N.A.	Oxnard	CA	08/2016	04/2022
Wells Fargo Advisors Financial Network, Llc	Camarillo	CA	04/2022	Present

05/2016 → 04/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oxnard, CA
08/2016 → 04/2022

Bank Of America, N.A.

Oxnard, CA
04/2022 → Present

Wells Fargo Advisors Financial Network, Llc

Camarillo, CA

Previous Registrations

2016-09-13 → 2022-04-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oxnard, CA

Camarillo, CA

Other Businesses

RIDGELINE PRIVATE WEALTH MANAGEMENT, LLC, INVT RELATED, CAMARILLO, CA, 15% OWNERSHIP, START DATE 4/8/2022, 160 HRS PER MONTH AND DURING TRADING, OPERATING EXPENSES FOR FINET PRACTICE. FTS CAPITAL INVESTMENT GROUP INC., INVT RELATED, CAMARILLO, CA, 100% OWNERSHIP, START DATE 4/8/2022, 160 HRS PER MONTH AND DURING TRADING, 1099 INCOME FOR FINET PRACTICE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-09-12

S66 Uniform Combined State Law Examination

2016-09-12

Other Names

Drew Roberts
James A Roberts

View on SEC IAPD