Rodney E. James

VINEYARD FAMILY WEALTH ADVISORS

Houston, TX 77024

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CRD#: 5615682

Professional summary

Rodney Edward James, CFP® is a registered financial advisor currently at VINEYARD FAMILY WEALTH ADVISORS located in Houston, Texas.

Rodney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Rodney has worked at 6 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Edward James'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 12, 2021 - Present

VINEYARD FAMILY WEALTH ADVISORS

Office #1: 800 Town And Country Boulevard Suite 500, Houston, TX 77024

RIA

CRD#: 312336

Houston, TX

Past

March 28, 2023 - April 5, 2023

EVERKEY FINANCIAL LLC

RIA

CRD#: 325189

HOUSTON, TX

Past

May 9, 2017 - March 29, 2021

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

HOUSTON, TX

Past

October 26, 2010 - October 17, 2012

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

October 26, 2010 - October 17, 2012

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

HOUSTON, TX

Past

December 23, 2008 - November 12, 2010

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

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
(3/12/2021)

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: 4/24/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/2008

General Securities Representative Examination

Current Firm

VINEYARD FAMILY WEALTH ADVISORS

BAYOU ADVISORS, LLC | VINEYARD FAMILY WEALTH, LLC | VINEYARD FAMILY WEALTH ADVISORS

CRD#: 312336 / SEC#: 801-120274

RIA

Registered Investment Advisory firm - (9/28/2022 Terminated)

Texas

Registered Investment Advisory firm - (9/22/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

800 Town And Country Boulevard Suite 500, Houston, TX 77024

Mailing Address

Phone number

(832) 500-8985

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	80
AUM (Assets Under Management)	$ 55,379,092

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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Rodney E. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Edward James's CRS (Customer Relationship Summary).

Certified licenses

Experience

VINEYARD FAMILY WEALTH ADVISORS

EVERKEY FINANCIAL LLC

MERCER GLOBAL ADVISORS INC.

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/2009

Series 7

Date: 12/22/2008

Current Firm

VINEYARD FAMILY WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VINEYARD FAMILY WEALTH ADVISORS

TRUST BUT VERIFY

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