Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Eller is a financial advisor with over 38 years of experience in the industry. James is registered with Raymond James & Associates, Inc. in Arizona, Illinois and Texas, and has been with the firm since April 2011. Before joining Raymond James, James worked at Howe Barnes Hoefer & Arnett, Inc., First Union Securities, Inc., Principal Financial Securities,Inc., Hamilton Investments, Inc., Mesirow Investment Services, Inc., Pembroke Clearing Corporation and J. B. Long & Co. James is a Series 63, 65, 7, 8, 9, 10 and SIE licensed representative.
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.
1
2
IL
05/31/2011 - Present
Raymond James & Associates, Inc. (Chicago IL)
IL
05/12/2000 - 07/28/2011
HOWE BARNES HOEFER & ARNETT, INC. (CHICAGO IL)
MO
06/13/1996 - 05/19/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
TX
09/01/1994 - 06/14/1996
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NA
03/13/1992 - 09/01/1994
HAMILTON INVESTMENTS, INC.
NA
12/19/1986 - 05/25/1990
MESIROW INVESTMENT SERVICES, INC.
NA
05/26/1983 - 01/07/1987
PEMBROKE CLEARING CORPORATION
NA
05/24/1982 - 05/27/1983
J. B. LONG & CO.
IA
Issued 05/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/08/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1982
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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