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JS

James M. Schrock

INVESTMENTS FOR YOU
Marysville, OH 43040
Some features on this profile are disabled
CRD#: 6306466
JS

Professional summary

James Michael Schrock, who also goes by James Michael Schrock, James Schrock, is a registered financial professional currently at INVESTMENTS FOR YOU, INC. located in Marysville, Ohio.

James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 2 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Michael Schrock | James Schrock

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) - BD

Click below to view James Michael Schrock'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®
None

Experience

Current

May 9, 2016 - Present

INVESTMENTS FOR YOU, INC.

Office #1: 1040 N. Maple Street, Marysville, OH 43040
BD
CRD#: 29257
Marysville, OH
Past

May 18, 2015 - May 10, 2016

PFS INVESTMENTS INC.

RIA
CRD#: 10111
FAIRLAWN, OH
Past

December 4, 2014 - May 10, 2016

PFS INVESTMENTS INC.

BD
CRD#: 10111
FAIRLAWN, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(5/9/2016)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/4/2014
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
INVESTMENTS FOR YOU, INC.
INVESTMENTS FOR YOU, INC.

CRD#: 29257 / SEC#: , 8-44179

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1040 N. Maple Street, Marysville, OH 43040
Mailing Address
1040 N. Maple Street, Marysville, OH 43040
Phone number
(937) 644-1661
Established
Ohio since 08/21/1991
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BINGMAN, MAX CURTISPRESIDENT/CHIEF COMPLIANCE OFFICER1079183

Disclosures

Regulatory Event3

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.

Company Information

INVESTMENTS FOR YOU, INC.

CRD#: 29257Marysville, OH 43040

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