Unclaimed Profile

James Daley Roorda

INDEPENDENT FINANCIAL ADVISORS LLC·RIVERSIDE, California

Series 6526 years registeredINDEPENDENT FINANCIAL ADVISORS LLC

5995 BROCKTON AVENUE, SUITE B, RIVERSIDE, CA 92506-1867CRD# 4351993Firm CRD# 109404

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Daley Roorda · RIVERSIDE, CA

Registration

CRD #4351993 · INDEPENDENT FINANCIAL ADVISORS LLC · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: INDEPENDENT FINANCIAL ADVISORS LLC

INDEPENDENT FINANCIAL ADVISORS LLC

Aug 2000 – Apr 2012

RIVERSIDE, CA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · August 2, 2000

Years registered · 26

Disclosure History

2008Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

INDEPENDENT FINANCIAL ADVISORS LLC

CRD 109404 · SEC 801-57326

AUM

$78M

Regulatory assets under management

Employees

266 client accounts

Services offered by INDEPENDENT FINANCIAL ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at INDEPENDENT FINANCIAL ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does James Daley Roorda offer?

James Daley Roorda specializes in Financial Planning, Investment Management, Wealth Management.

What are James Daley Roorda's credentials?

James Daley Roorda is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Daley Roorda located?

James Daley Roorda is based in RIVERSIDE, California, last registered with INDEPENDENT FINANCIAL ADVISORS LLC.

How does James Daley Roorda charge for services?

James Daley Roorda's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is INDEPENDENT FINANCIAL ADVISORS LLC?

INDEPENDENT FINANCIAL ADVISORS LLC has approximately 1 employees and manages $78M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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