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 Stein is a financial advisor with over 25 years of experience in the financial services industry. James is currently registered with LPL Financial LLC and has previously held registrations with WADDELL & REED, CITIZENS SECURITIES, INC., PNC INVESTMENTS, UVEST FINANCIAL SERVICES GROUP, INC., M&T SECURITIES, INC., KEYSTONE BROKERAGE, LLC, METLIFE SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, BISYS BROKERAGE SERVICES, INC., 1717 CAPITAL MANAGEMENT COMPANY and NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. James holds the Series 6, 7, 63, and 65 licenses, as well as the SIE exam, and is a Certified Financial Planner and a Chartered Financial Consultant. James specializes in providing financial planning, portfolio management and consulting services to individuals, families, businesses, and charitable organizations.
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.
Consulting and other non-discretionary advisory services
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
PA
07/21/2021 - Present
LPL Financial LLC (STATE COLLEGE PA)
PA
11/18/2020 - 07/21/2021
WADDELL & REED (HOLLIDAYSBURG PA)
PA
12/16/2013 - 11/19/2020
CITIZENS SECURITIES, INC. (STATE COLLEGE PA)
PA
01/14/2008 - 12/16/2013
PNC INVESTMENTS (STATE COLLEGE PA)
PA
11/23/2004 - 01/08/2008
UVEST FINANCIAL SERVICES GROUP, INC. (INDIANA PA)
MD
10/07/2000 - 06/17/2004
M&T SECURITIES, INC. (BALTIMORE MD)
PA
01/06/2000 - 10/07/2000
KEYSTONE BROKERAGE, LLC (WILLIAMSPORT PA)
MA
10/15/1999 - 01/11/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/15/1999 - 01/11/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MN
01/11/1999 - 10/11/1999
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
DE
08/10/1998 - 01/04/1999
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
WI
10/18/1994 - 04/08/1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
IA
Issued 02/14/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/08/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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