Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames A. Rishel is a financial advisor at LPL Financial LLC. James has been in the financial services industry since July 1991 and has extensive experience in providing financial advice to individuals, families, and businesses. James has a strong track record of success and is committed to helping his clients achieve their financial goals. James is registered with FINRA and holds the Series 6, 7, 24, 63, and 65 licenses. He is also registered with the state of New York as an investment advisor representative. James is a member of the LPL Financial team and has access to a wide range of financial products and services to help clients meet their needs. James is also a Certified Public Accountant (CPA) and can provide tax preparation and accounting 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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2
NY
11/14/2022 - Present
LPL Financial LLC (CLINTON NY)
NY
03/22/2000 - 11/16/2022
CADARET, GRANT & CO., INC. (CLINTON NY)
NY
07/29/1991 - 03/28/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
07/29/1991 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 06/21/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/1999
Series 7 - General Securities Representative Examination
BC
Issued 07/25/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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