James Stockman

Current Employers

Employment History

• 11/2015 → 06/2017
  Oppenheimerfunds
  Centennial, CO
• 12/2017 → 06/2018
  Gwfs Equities, Inc.
  Greenwood Village, CO
• 06/2017 → 12/2017
  Unemployed
  Centennial, CO
• 10/2018 → 03/2024
  Transamerica Capital, Inc.
  Denver, CO
• 07/2018 → 09/2018
  Unemployed
  Greenwood Village, CO
• 09/2024 → Present
  Independent Financial Group Llc
  Hartford, CT
• 03/2024 → 09/2024
  Unemployed
  Glastonbury, CT

Other Businesses

(1) RENTAL PROPERTY POSITION: Landlord NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 Denver CO DESCRIPTION: Landlord (2) VAYLARK COLLEGE PLANNING POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2026 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: Financial advisor role with Vaylark College Planning, including client education, financial planning, retirement planning, college planning, insurance planning, seminar support, prospecting, and client service. All securities, advisory, and insurance-related activity will be conducted only through the appropriate approved broker-dealer/RIA/insurance channels and subject to firm supervision. No private securities transactions, custody of client funds, or unapproved investment activity will be conducted through this OBA. (3) STOCKMAN AND ASSOCIATES LLC POSITION: Agent/Representative NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/04/2026 ADDRESS: 236 East St. Apt C4, Plainville CT 06062, United States DESCRIPTION: Stockman and Associates is an S-Corporation owned 100% by James Stockman and established solely for tax and administrative purposes. I do not conduct any securities, investment advisory, insurance, financial planning, or client-facing business through this entity. All business activities with clients will continue to be conducted exclusively through Vaylark Financial Services and my approved broker-dealer/RIA affiliations. My responsibilities are limited to ownership oversight, tax reporting, bookkeeping coordination, and routine administrative maintenance of the entity. (4) VAYLARK FINANCIAL POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 240 START DATE: 09/09/2024 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: Financial advisor role with Vaylark Financial, including client education, financial planning, retirement planning, college planning, insurance planning, seminar support, prospecting, and client service. All securities, advisory, and insurance-related activity will be conducted only through the appropriate approved broker-dealer/RIA/insurance channels and subject to firm supervision. No private securities transactions, custody of client funds, or unapproved investment activity will be conducted through this OBA.

Exams

• S66 Uniform Combined State Law Examination
  2024-07-08
• S63 Uniform Securities Agent State Law Examination
  2014-02-21

Other Names

• James W Stockman
• James William Stockman