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 Sears is a financial advisor with over 20 years of experience in the industry. James is currently registered with Pacific Oak Capital Markets, LLC and is licensed to provide securities advice in Arizona, Colorado, Nebraska, New Mexico, and Utah. James has previously been registered with a number of other firms including Orchard Securities, LLC and Ares Wealth Management Solutions, LLC. James holds the Series 7 and Series 63 licenses. He has also passed the Securities Industry Essentials (SIE) Examination.
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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2
CA
03/11/2024 - Present
Pacific OAK Capital Markets, LLC (COSTA MESA CA)
CO
05/06/2022 - 11/01/2023
ORCHARD SECURITIES, LLC (Denver CO)
CO
09/26/2003 - 11/29/2021
ARES WEALTH MANAGEMENT SOLUTIONS, LLC (DENVER CO)
TX
12/11/2000 - 07/10/2003
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
CO
10/02/2000 - 12/01/2000
TRANSAMERICA CAPITAL, INC. (DENVER CO)
TX
08/03/2000 - 09/26/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
05/01/1998 - 06/09/1998
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
BC
Issued 08/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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