James R. Munchbach

BAYROCK FINANCIAL, L.L.C.

Houston, TX 77023

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CRD#: 3062608

Professional summary

James Ray Munchbach, CFP®, who also goes by Jim R Munchbach, Jim Ray Munchbach, is a registered financial advisor currently at BAYROCK FINANCIAL, L.L.C. located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim R Munchbach | Jim Ray Munchbach

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) 01/2012 Mr. Munchbach is a Professor of Personal Finance of Bauer College of Business, one day a week. This commitment takes approximately 4 hours a week. 2) Independent Insurance Agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ray Munchbach's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

September 24, 2019 - Present

BAYROCK FINANCIAL, L.L.C.

Office #1: 5000 Gulf Freeway, Houston, TX 77023

RIA

CRD#: 305467

Houston, TX

Past

February 9, 2018 - August 8, 2019

TREMONT STREET ADVISORS, LLC

RIA

CRD#: 172984

Houston, TX

Past

April 25, 2017 - March 20, 2018

ARKOS GLOBAL ADVISORS, LLC

RIA

CRD#: 287466

HOUSTON, TX

Past

September 1, 2016 - April 25, 2017

AVIDIAN WEALTH SOLUTIONS

RIA

CRD#: 127186

HOUSTON, TX

Past

March 13, 2015 - August 26, 2016

MORGAN STANLEY

RIA

CRD#: 149777

HOUSTON, TX

Past

February 25, 2015 - August 26, 2016

MORGAN STANLEY

CRD#: 149777

HOUSTON, TX

Past

April 15, 2003 - March 9, 2006

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 3487

HOUSTON, TX

Past

June 16, 1998 - January 29, 2008

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(9/24/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/13/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/13/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/25/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/13/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BAYROCK FINANCIAL, L.L.C.

BAYROCK FINANCIAL, L.L.C. | FAMILY WEALTH BUILDER | BAYROCK FINANCIAL, LLC

CRD#: 305467 / SEC#:

Texas

Registered Investment Advisory firm - (9/24/2019 Approved)

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Contact information

Main Address

5000 Gulf Freeway, Houston, TX 77023

Mailing Address

Phone number

(832) 895-1700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 50,950,985

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James R. Munchbach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ray Munchbach's CRS (Customer Relationship Summary).

Certified licenses

Experience

TREMONT STREET ADVISORS, LLC

ARKOS GLOBAL ADVISORS, LLC

AVIDIAN WEALTH SOLUTIONS

MORGAN STANLEY

MORGAN STANLEY

STATE FARM INVESTMENT MANAGEMENT CORP.

STATE FARM VP MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/13/2015

Series 63

Date: 6/13/1998

SIE

Date: 8/26/2016

Series 7

Date: 2/25/2015

Series 6

Date: 6/13/1998

Current Firm

BAYROCK FINANCIAL, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAYROCK FINANCIAL, L.L.C.

TRUST BUT VERIFY

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