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 Gothard has been in the financial services industry since June 2, 1994. James is currently registered with Osaic Wealth, Inc., in Indiana as a Registered Representative and Investment Advisor Representative. Previously, James was also a registered representative of Signator Investors, Inc. and Transamerica Financial Advisors, Inc. James has experience with a variety of investment products and services, including financial planning, pension consulting, and portfolio management.
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.
1
2
OH
11/02/2018 - Present
Osaic Wealth, Inc. (GREENVILLE OH)
IN
05/13/2016 - 11/02/2018
SIGNATOR INVESTORS, INC. (LAFAYETTE IN)
IN
01/03/2001 - 05/13/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (LAFAYETTE IN)
AL
09/25/1998 - 12/31/2000
PROEQUITIES, INC. (BIRMINGHAM AL)
GA
06/19/1996 - 09/25/1998
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
NY
04/12/1994 - 04/29/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/20/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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