Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian James is an investment advisor representative with Allworth Financial, LP. Brian has been in the industry for over 20 years, and has a broad range of experience in financial planning, portfolio management, and investment advice. Brian holds Series 7, 63, and 65 licenses and is a Certified Financial Planner. Brian has previously worked with a number of firms including LPL Financial LLC, PNC Investments, NatCity Investments, Inc., NatCity Insurance Services, Inc., Liberty Securities Corporation, and Independent Financial Securities, Inc. Brian has a history of working with clients in Ohio and Kentucky.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
08/21/2018 - Present
Allworth Financial, LP (FOLSOM CA)
OH
12/17/2010 - 01/28/2012
LPL FINANCIAL LLC (LIBERTY TWP OH)
OH
11/13/2009 - 12/20/2010
PNC INVESTMENTS (DAYTON OH)
OH
12/15/1997 - 11/13/2009
NATCITY INVESTMENTS, INC. (DAYTON OH)
OH
08/30/1999 - 12/31/2001
NATCITY INSURANCE SERVICES, INC. (CLEVELAND OH)
NY
08/03/1998 - 09/01/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
06/09/1998 - 08/03/1998
INDEPENDENT FINANCIAL SECURITIES, INC.
IA
Issued 05/15/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
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