Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Scott has been in the financial services industry since 1987. James has worked with several financial institutions including Waddell & Reed, Foresters Equity Services, Inc., MONY Securities Corp., PRUCO Securities Corporation, AAL Capital Management Corporation and currently, LPL Financial LLC. James has been registered in 7 states including Washington, Missouri, Georgia, Colorado, Arizona and California. James currently holds 5 active registrations in the United States. James holds several licenses, including the Series 6, 7, 24, 26, 63 and 66 licenses. James currently works at the Tacoma, WA office of LPL Financial LLC. James offers advisory services including financial planning, portfolio management for businesses and individuals, and pension consulting, and non-discretionary advisory services.
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
WA
07/21/2021 - Present
LPL Financial LLC (TACOMA WA)
WA
08/28/2000 - 07/21/2021
WADDELL & REED (TACOMA WA)
CA
01/29/1999 - 08/14/2000
FORESTERS EQUITY SERVICES, INC. (SAN DIEGO CA)
NY
01/02/1998 - 12/22/1998
MONY SECURITIES CORP. (NEW YORK NY)
NJ
02/20/1997 - 12/16/1997
PRUCO SECURITIES CORPORATION (NEWARK NJ)
MN
07/07/1987 - 02/05/1997
AAL CAPITAL MANAGEMENT CORPORATION (MINNEAPOLIS MN)
BOTH
Issued 11/02/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/24/2001
Series 24 - General Securities Principal Examination
BC
Issued 05/09/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2001
Series 7 - General Securities Representative Examination
BC
Issued 12/12/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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