Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Garland is a financial advisor with over 39 years of experience in the industry. James is currently registered with Cetera Investment Advisers LLC and has previously worked with VOYA FINANCIAL ADVISORS, INC., SECURIAN FINANCIAL SERVICES, INC., and PRUCO SECURITIES, LLC. James is a Certified Financial Planner and a Chartered Financial Consultant and provides financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals and businesses. James is also a registered insurance agent.
WESTBROOK, ME
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
ME
06/29/2023 - Present
Cetera Investment Advisers LLC (WESTBROOK ME)
ME
07/16/2007 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (WESTBROOK ME)
ME
03/07/2006 - 07/18/2007
SECURIAN FINANCIAL SERVICES, INC. (PORTLAND ME)
NJ
02/17/1983 - 02/21/2006
PRUCO SECURITIES, LLC. (NEWARK NJ)
IA
Issued 7/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/31/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/28/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/9/1997
Series 7 - General Securities Representative Examination
BC
Issued 1/29/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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