Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Braziel is a financial advisor with over 30 years of experience in the financial services industry. James is a Certified Financial Planner™ and holds Series 7, 24, 63, and 65 licenses. James has worked at Independent Financial Group, LLC since July 2022 and also has his own firm, Braziel & Associates, LLC. Prior to that, James worked at NPB Financial Group, LLC, National Planning Corporation and W.S. Griffith & Co., Inc. James specializes in providing financial planning, portfolio management and pension consulting to individuals, corporations, and charitable organizations. James has a strong track record of helping clients achieve their financial goals. James holds registrations in 16 states including California, Florida, Maryland, Nevada, New York, North Carolina, Ohio, Oklahoma, Oregon, Tennessee, Texas, and Washington.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
02/03/2023 - Present
Independent Financial Group, LLC (CHICO CA)
CA
04/24/2006 - 07/15/2022
NPB FINANCIAL GROUP, LLC (CHICO CA)
CA
08/13/1999 - 04/24/2006
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
CT
11/24/1998 - 08/25/1999
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
MA
03/05/1993 - 11/20/1998
ASSOCIATED SECURITIES CORP. (BOSTON MA)
IA
Issued 03/04/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Braziel is the right advisor for you? Invested Better is here to help.
