Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lindsay is a financial advisor with over 40 years of experience in the industry. James is currently registered with Cetera Investment Advisers LLC, a firm with over 16,000 clients and $104.5 billion in assets under management. James has a broad range of experience, having worked at several major financial institutions, including Lehman Brothers Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is licensed to provide advisory services in California and Texas.
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
CA
06/29/2023 - Present
Cetera Investment Advisers LLC (SAN MARCOS CA)
CA
09/29/2012 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (CARLSBAD CA)
CA
09/24/2004 - 08/28/2012
LPL FINANCIAL LLC (CARLSBAD CA)
MO
07/27/1998 - 10/04/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
11/26/1993 - 08/14/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 12/02/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
07/29/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
11/17/1987 - 07/30/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
11/25/1981 - 12/15/1987
E. F. HUTTON & COMPANY INC
NA
07/30/1981 - 11/18/1981
TITAN CAPITAL CORPORATION
IA
Issued 7/20/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/26/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/11/1991
Series 3 - National Commodity Futures Examination
BC
Issued 6/20/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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