Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Arthur Bales is a financial professional with over 27 years of experience in the industry. James is currently registered with Centaurus Financial, Inc. and has previously worked with AXA Advisors, LLC and The Equitable Life Assurance Society of the United States. James specializes in portfolio management for individuals and businesses, financial planning, pension consulting, educational seminars, market timing services, publication of periodicals, and selection of other advisors. James also holds Series 6, 7, 24, 63, and 65 licenses.
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.
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.
A percentage of the total value of assets under management is charged.
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2
VA
06/08/2001 - Present
Centaurus Financial, Inc. (NEWPORT NEWS VA)
NY
09/29/1994 - 03/26/2001
AXA ADVISORS, LLC (NEW YORK NY)
NY
09/29/1994 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 06/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1999
Series 7 - General Securities Representative Examination
BC
Issued 09/16/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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