James E. Roberts

INTENTIONAL

Fort Mill, SC 29708

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CRD#: 5401304

Professional summary

James E Roberts, CFP® is a registered financial advisor currently at INTENTIONAL located in Fort Mill, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Fixed insurance sales conducted under his individual capacity. Approximately 10% of time spent during securities business hours. Investment related and conducted from branch location.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James E Roberts's CRS (Customer Relationship Summary).

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: 2013

Experience

Current

March 16, 2022 - Present

INTENTIONAL

Office #1: 850 Bee Balm Trail, Fort Mill, SC 29708

RIA

CRD#: 318570

Fort Mill, SC

Past

March 18, 2019 - March 9, 2022

CIC WEALTH, LLC

RIA

CRD#: 290198

ROCKVILLE, MD

Past

June 27, 2016 - March 5, 2019

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

BETHESDA, MD

Past

June 27, 2016 - March 5, 2019

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

BETHESDA, MD

Past

September 25, 2012 - June 27, 2016

CETERA ADVISORS LLC

RIA

CRD#: 10299

BOYDS, MD

Past

September 25, 2012 - June 27, 2016

CETERA ADVISORS LLC

CRD#: 10299

BOYDS, MD

Past

September 6, 2012 - September 24, 2012

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CHARLOTTE, NC

Past

August 28, 2012 - September 24, 2012

PRUCO SECURITIES, LLC.

CRD#: 5685

CHARLOTTE, NC

Past

March 12, 2008 - August 24, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

BETHESDA, MD

Past

November 21, 2007 - August 24, 2012

LPL FINANCIAL LLC

CRD#: 6413

BETHESDA, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTENTIONAL

INTENTIONAL | PRIME WEALTH MANAGMENT | INTENTIONAL, LLC

CRD#: 318570 / SEC#: 801-123251

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

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

South Carolina
(3/16/2022)

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: 3/11/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/2007

General Securities Representative Examination

Current Firm

INTENTIONAL

INTENTIONAL | PRIME WEALTH MANAGMENT | INTENTIONAL, LLC

CRD#: 318570 / SEC#: 801-123251

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

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Contact information

Main Address

850 Bee Balm Trail, Fort Mill, SC 29708

Mailing Address

Phone number

+1 (866) 752-6410

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INTENTIONAL ADV 2A/B (9/18/2025)

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 148,211,936

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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Firm Stability Insights

James E. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James E Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

CIC WEALTH, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

INTENTIONAL

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2007

Current Firm

INTENTIONAL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTENTIONAL

TRUST BUT VERIFY

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