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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Atwood is a financial advisor registered in California. James Atwood is a registered representative and investment advisor representative of LPL Financial LLC. James Atwood has been in the financial services industry since 2001 and has a wide range of experience working with individuals, families, corporations, and institutions. James Atwood has specialized in providing financial planning, investment management, and retirement planning services.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
12/08/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
05/28/2021 - 07/21/2023
FORGE SECURITIES LLC (SAN FRANCISCO CA)
CA
01/03/2012 - 05/25/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
CA
04/26/2011 - 11/16/2011
MADISON AVENUE SECURITIES, INC. (SAN DIEGO CA)
CA
10/23/2009 - 12/06/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BONSALL CA)
CA
05/04/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN DIEGO CA)
NE
02/22/2001 - 04/26/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IA
Issued 06/28/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/25/2011
Series 4 - Registered Options Principal Examination
BC
Issued 09/24/2008
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 11/05/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/17/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/08/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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