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Brian Anthony James

PNC Investments

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About Brian Anthony James

Brian Anthony James is a registered investment advisor representative. Brian has been in the securities industry for 6 years. Brian is currently registered with PNC Investments in Battle Creek, Michigan. Brian is also registered with the state of Michigan as an investment advisor representative. Brian has passed the Series 7, Series 66, and Series 63 exams. Brian has also passed the Securities Industry Essentials Exam (SIE). Brian has experience working with clients such as corporations or other businesses, individuals other than high net worth, and pension and profit-sharing plans.

Firm Information

Brian James is currently registered with PNC Investments. PNC Investments, a Limited Liability Company formed in 2003, provides investment advisory services across the United States. They manage a wide range of client assets, including those of individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, and churches. PNC Investments offers portfolio management services for individuals and businesses, as well as selection of other advisors. They also participate in wrap fee programs.
PNC Investments

300 FIFTH AVENUE

PITTSBURGH, PA 15222-2722

$23.90B

Assets Under Management

Not reported

Total Clients

1,112

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Brian James’s Registration & Firm History

MI

03/06/2024 - Present

PNC Investments (Coldwater MI)

MI

02/12/2018 - 07/16/2020

LPL FINANCIAL LLC (PORTAGE MI)

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Licenses & Designations

BC

Issued 03/19/2024

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 04/04/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/23/2024

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/12/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Brian Anthony James. Review regulatory record here.
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