Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Austin King is a financial advisor with Commonwealth Financial Network. James has been in the financial services industry since June 1997. James is registered with the state of North Carolina as a Registered Representative and Investment Advisor Representative. James has a Series 6, Series 7, Series 24, Series 63 and Series 65 license. James has worked with various firms in the past including W. S. Griffith & Co., Inc. and WS Griffith Securities, Inc. James works with individuals, families, businesses, trusts, estates, and retirement plans. James has offices in Greensboro, NC.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NC
10/16/2003 - Present
Commonwealth Financial Network (GREENSBORO NC)
CT
06/29/1999 - 10/23/2003
WS GRIFFITH SECURITIES, INC. (HARTFORD CT)
CT
03/27/1998 - 06/22/1999
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
CT
03/21/1997 - 01/06/1998
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
IA
Issued 02/04/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/10/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/19/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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