James Scott Loquai
AIF®, CFP®Professional Summary
James Scott Loquai, AIF®, CFP® is a registered financial advisor currently at EXCEL FINANCIAL, LLC located in Red Wing, Minnesota. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 2 firms and has passed the Series 66 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
Credentials
Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
Current Firm
BCD FINANCIAL | EXCEL FINANCIAL, LLC
Contact Information
Main Address
321 Main Street, Red Wing, MN 55066Phone Number
(651) 388-6441# of Employees
9SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,128AUM (Assets Under Management)
$404,464,714Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
BCD FINANCIAL | EXCEL FINANCIAL, LLC
State Registrations and Notice Filings
(2/11/2023)
(4/11/2014)
(12/1/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - RIA
Click below to view James Scott Loquai's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
UBS FINANCIAL SERVICES INC.