Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aaron Abrego is a financial advisor with over 18 years of experience in the financial services industry. James has held positions at various firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, Inc., and Chase Investment Services Corp. Currently, James is registered with LPL Financial LLC. James is licensed to provide investment advice in 53 states. James focuses on providing financial planning, consulting, and other advisory services to individuals, corporations, and other entities.
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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TX
06/27/2022 - Present
LPL Financial LLC (SAN ANTONIO TX)
GA
05/23/2019 - 06/15/2022
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
05/23/2019 - 06/15/2022
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MN
05/23/2019 - 06/15/2022
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
AZ
11/15/2017 - 06/15/2022
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
09/27/2010 - 06/27/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
AZ
04/29/2008 - 01/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (TEMPE AZ)
AZ
06/07/2005 - 04/09/2008
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
IL
05/24/2005 - 04/28/2006
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
07/26/2000 - 06/02/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 12/28/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/31/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/24/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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