Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alan Hauer is a financial professional with over 35 years of experience in the industry. James has been registered with the Securities and Exchange Commission (SEC) since 1987. James is currently employed by Parkland Securities, LLC. James has held previous positions at INTERSECURITIES, INC., JOHN HANCOCK DISTRIBUTORS, INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, and FARWEST SECURITIES CORPORATION. James is licensed to conduct business in Arizona, California, Colorado, Indiana, Minnesota, North Dakota, Texas, Utah, and Washington.
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.
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.
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AZ
07/23/2009 - Present
Parkland Securities, LLC (PHOENIX AZ)
AZ
12/06/1994 - 07/31/2009
INTERSECURITIES, INC. (PHOENIX AZ)
MA
07/09/1987 - 10/25/1994
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
07/09/1987 - 10/25/1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NA
04/29/1987 - 06/22/1987
FARWEST SECURITIES CORPORATION
BC
Issued 04/03/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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