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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Steigerwald is a financial advisor at Raymond James Financial Services Advisors, Inc. James has 23 years of experience in the financial services industry. He is registered with the state of Florida and Texas as an investment advisor representative and is also registered with the state of Florida, Alabama, Alaska, Arkansas, California, Colorado, Georgia, Hawaii, Massachusetts, Mississippi, Montana, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Washington as a broker. James has passed the Series 63, Series 65, Series 7, Series 9, Series 10, and Series 31 exams. James offers financial planning, portfolio management, and pension consulting services.
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.
Hourly & fixed rate consultations
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
FL
11/01/2019 - Present
Raymond James Financial Services Advisors, Inc. (Miami FL)
FL
08/06/2003 - 07/13/2017
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
IL
10/03/2001 - 07/29/2003
ABN AMRO FINANCIAL SERVICES, INC. (CHICAGO IL)
NY
12/09/1999 - 08/16/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 02/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/28/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/30/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 12/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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