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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 Andrew Ferrin is a financial advisor at LPL Financial LLC, based in PLEASANT GROVE, UT. James has been in the industry since 1983 and has worked with various firms throughout his career, including TRIAD ADVISORS LLC, FSC SECURITIES CORPORATION, ZIONS INVESTMENT SECURITIES, INC., and FITZGERALD, DEARMAN & ROBERTS, INC. James is a Certified Financial Planner and holds several industry licenses, including Series 7, Series 24, Series 30, and Series 63. James has also been registered with the state of Texas as an Investment Advisor Representative. He is currently registered in 19 states as a broker and in two states as an investment advisor 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.
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.
1
2
UT
12/03/2019 - Present
LPL Financial LLC (PLEASANT GROVE UT)
UT
03/29/2012 - 12/03/2019
TRIAD ADVISORS LLC (PLEASANT GROVE UT)
UT
09/01/1993 - 04/02/2012
FSC SECURITIES CORPORATION (PLEASANT GROVE UT)
UT
09/14/1988 - 09/16/1993
ZIONS INVESTMENT SECURITIES, INC. (SALT LAKE CITY UT)
NA
01/02/1987 - 01/14/1987
FITZGERALD, DEARMAN & ROBERTS, INC.
NA
06/11/1985 - 01/02/1987
EQUITY-ONE CORPORATION
NA
11/03/1982 - 06/14/1985
FPI SECURITIES, INC.
NA
03/02/1982 - 10/14/1982
PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED
IA
Issued 09/23/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2015
Series 30 - NFA Branch Manager Examination
BC
Issued 12/01/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2015
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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