Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Joseph James is a financial advisor with over 10 years of experience in the industry. David has worked for several firms, including Ameriprise Financial Services, LLC and Citizens Securities, Inc.. David currently works at Osaic Institutions, Inc. where David is registered as a Registered Agent (RA) in New Hampshire. David has passed numerous industry exams, including the Series 6, 7, 24, 63, 65 and the SIE. David is licensed to provide advisory services in a variety of states. David focuses on providing financial planning, selection of other advisors, and portfolio management for individuals and corporations.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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
NH
04/25/2023 - Present
Osaic Institutions, Inc. (CONCORD NH)
NH
06/17/2022 - 04/13/2023
AMERIPRISE FINANCIAL SERVICES, LLC (BEDFORD NH)
NH
05/22/2015 - 06/22/2022
CITIZENS SECURITIES, INC. (LONDONDERRY NH)
MA
02/12/2014 - 12/19/2014
SANTANDER SECURITIES LLC (WALPOLE MA)
ME
12/13/2012 - 02/13/2013
HORNOR, TOWNSEND & KENT, INC. (PORTLAND ME)
NH
03/26/2012 - 10/16/2012
PFS INVESTMENTS INC. (FRANKLIN NH)
IA
Issued 12/20/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2021
Series 24 - General Securities Principal Examination
BC
Issued 04/17/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 08/16/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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