Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moore is a financial professional with over 25 years of experience in the industry. James has a wide range of experience working with different firms, including VOYA FINANCIAL PARTNERS, LLC, VOYA FINANCIAL ADVISORS, INC., LASALLE ST SECURITIES, L.L.C., MML INVESTORS SERVICES, INC., DEAN WITTER REYNOLDS INC., and ADP BROKER-DEALER, INC.. James currently holds a Series 6, 7, 22, 26, 63, and 66 license and is a Registered Representative for Capital Synergy Partners, Inc. James specializes in financial planning, portfolio management for individuals, and selection of other advisors.
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.
Helps you choose top advisors aligned with your financial goals.
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.
Csp receives third party referral, selection & monitoring fees
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2
CA
01/01/2025 - Present
Capital Synergy Partners (IRVINE CA)
CA
01/16/2007 - 01/30/2015
VOYA FINANCIAL PARTNERS, LLC (GLENDALE CA)
CA
03/14/2012 - 12/18/2014
VOYA FINANCIAL ADVISORS, INC. (IRVINE CA)
IL
09/28/2005 - 04/17/2006
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
MA
05/09/2003 - 05/20/2003
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
06/28/1998 - 08/29/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
11/28/1995 - 04/27/1998
ADP BROKER-DEALER, INC. (ROSELAND NJ)
MA
08/28/1989 - 08/17/1992
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
PA
03/14/1985 - 07/18/1989
CIGNA SECURITIES, INC. (RADNOR PA)
BOTH
Issued 03/18/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/12/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/07/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2005
Series 7 - General Securities Representative Examination
BC
Issued 04/11/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/13/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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