Unclaimed Profile

Roger Allen James

PARSEC FINANCIAL MANAGEMENT INC·ASHEVILLE, North Carolina

Series 65Clean record19 years registeredPARSEC FINANCIAL MANAGEMENT INC

6 WALL ST, ASHEVILLE, NC 28801CRD# 5342157Firm CRD# 104919

Profile Verification

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

Identity

Roger Allen James · ASHEVILLE, NC

Registration

CRD #5342157 · PARSEC FINANCIAL MANAGEMENT INC · 19 years registered

Brand Profile

Not yet started

Career History

MODERA WEALTH MANAGEMENT, LLC

Apr 2023 – present

PARSEC FINANCIAL

May 2007 – Apr 2023

ASHEVILLE, NC

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · May 22, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PARSEC FINANCIAL MANAGEMENT INC

CRD 104919 · SEC 801-16359

AUM

$3.7B

Regulatory assets under management

Employees

6,580 client accounts

Services offered by PARSEC FINANCIAL MANAGEMENT INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PARSEC FINANCIAL MANAGEMENT INC →

Introduction

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Frequently Asked Questions

What services does Roger Allen James offer?

Roger Allen James specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in ASHEVILLE, North Carolina for a consultation.

What are Roger Allen James's credentials?

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

Where is Roger Allen James located?

Roger Allen James is based in ASHEVILLE, North Carolina, working with PARSEC FINANCIAL MANAGEMENT INC. Their office serves clients in the ASHEVILLE metropolitan area and surrounding communities.

How does Roger Allen James charge for services?

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

How large is PARSEC FINANCIAL MANAGEMENT INC?

PARSEC FINANCIAL MANAGEMENT INC has approximately 76 employees and manages $3.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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