James Roberts has been Chief Compliance Officer of Intentional since January 2022, is a control person of the firm and directly owns under 5% of it.
Intentional, LLC is a Fort Mill, SC firm with $176M under management, 400 clients and 3 advisers across 2 offices, as of its June 2026 filing.
James Roberts is Founder of Intentional LLC, based in Fort Mill, South Carolina. He has been in the investment services industry since 2007. Roberts serves clients across the Charlotte region, the Charleston region, and nationally.
James Roberts’ longest registration is the current one, 4 years at Intentional since 2022. Before joining Intentional in 2022, James Roberts was registered through Cic Wealth, LLC and Commonwealth Financial Network.
- Cic Wealth, LLC– · 2 yearsRockville, MD · Adviser representative · Firm CRD 290198
- Commonwealth Financial Network– · 2 yearsBethesda, MD · Adviser representative · Firm CRD 8032
- Cetera Advisors LLC– · 3 yearsBoyds, MD · Adviser representative · Firm CRD 10299
- Prudential Financial Planning Services– · under a yearCharlotte, NC · Adviser representative · Firm CRD 5685
- LPL Financial LLC– · 4 yearsBethesda, MD · Adviser representative · Firm CRD 6413
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 11 March 2008 |
| Series 7 | General Securities Representative Examination | 20 November 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James E Roberts
- CRD
- 5401304
- Firm
- Intentional · CRD 318570
- Role
- Chief Compliance Officer
- Office
- 850 BEE BALM TRAIL, Fort Mill, SC 29708
- Registration
- Investment adviser registration
- In the industry since
- December 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- i10wealth.com
Where does James Roberts work?
James Roberts has been Chief Compliance Officer of Intentional, LLC since January 2022, and is a control person of the firm.
Is James Roberts a financial advisor?
Yes. James Roberts has a current investment-adviser registration, through Intentional since March 2022.
How many years of experience does James Roberts have?
James Roberts has 18 years in the financial industry, since December 2007, across 6 adviser firms.
What exams has James Roberts passed?
James Roberts has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2007. FINRA credited James Roberts with the SIE, which began in October 2018.
Where did James Roberts work before Intentional?
Before Intentional, James Roberts was registered through Cic Wealth, LLC, March 2019 to March 2022; Commonwealth Financial Network, June 2016 to March 2019; Cetera Advisors LLC, September 2012 to June 2016; Prudential Financial Planning Services, September 2012 to September 2012; LPL Financial LLC, March 2008 to August 2012.
Where is James Roberts based?
James Roberts’ registered office is in Fort Mill, SC.
Is James Roberts registered with FINRA?
No. James Roberts has no current broker registration.
How can I verify James Roberts’ record?
Search CRD 5401304 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Roberts’ full registration record.