Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dawes is a financial advisor with TIAA-CREF Individual & Institutional Services, LLC. James has been working in the financial services industry since April 1998. James has worked for a number of firms, including Frost Brokerage Services, Inc., Capital One Investing, LLC and PFS Investments Inc. James has a range of experience, including providing financial planning services, selecting other advisors, and managing portfolios for individuals and institutions. James also holds various licenses, including Series 6, 7, 24, 26, 63, and 65. James is registered with the state of Texas to provide investment advisory and brokerage 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.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
TX
10/10/2019 - Present
Tiaa-Cref Individual & Institutional Services, LLC (LEWISVILLE TX)
TX
10/02/2017 - 01/31/2019
FROST BROKERAGE SERVICES, INC. (SOUTHLAKE TX)
TX
01/29/2015 - 09/25/2017
CAPITAL ONE INVESTING, LLC (PLANO TX)
TX
01/15/2015 - 01/29/2015
CAPITAL ONE INVESTMENT SERVICES LLC (DALLAS TX)
TX
07/16/1997 - 12/18/2014
PFS INVESTMENTS INC. (DALLAS TX)
IA
Issued 04/07/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/31/2022
Series 24 - General Securities Principal Examination
BC
Issued 08/25/2008
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2015
Series 7 - General Securities Representative Examination
BC
Issued 07/15/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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