Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alexander Baber is a financial advisor with over 25 years of experience in the industry. James is registered with Raymond James & Associates, Inc. in Virginia and Texas and has a strong track record of providing personalized financial advice to individuals, families, and businesses. James is also a registered Investment Advisor Representative. James is dedicated to helping clients achieve their financial goals through a variety of investment and financial planning strategies. James has a deep understanding of the financial markets and is committed to staying current on the latest industry trends.
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.
Please see note in schedule d - miscellaneous
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.
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2
VA
09/27/2017 - Present
Raymond James & Associates, Inc. (RICHMOND VA)
VA
07/07/2011 - 09/28/2017
JANNEY MONTGOMERY SCOTT LLC (RICHMOND VA)
VA
02/10/2006 - 07/18/2011
SCOTT & STRINGFELLOW, LLC (RICHMOND VA)
MD
11/29/1996 - 02/14/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 09/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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