Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ball is an active Registered Representative and Investment Advisor Representative with over 20 years of experience in the financial services industry. James Ball is currently registered with Osaic Wealth, Inc. and has been with the firm since June 2024. Prior to joining Osaic Wealth, Inc. James Ball was registered with Securities America, Inc. James Ball has a broad range of experience in the financial services industry, including experience with Securities America, Inc., Woodbury Financial Services, Inc., Questar Capital Corporation, Capital Guardian, LLC, and Securian Financial Services, Inc. James Ball is a licensed professional and holds several industry designations and qualifications, including the Series 66, Series 4, Series 53, Series 51, Series 24, Series 99TO, Series 52TO, and the SIE. James Ball's specializations include financial planning, portfolio management, pension consulting, educational seminars and selection of other advisors.
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
NC
06/14/2024 - Present
Osaic Wealth, Inc. (CHARLOTTE NC)
NC
12/20/2022 - 06/14/2024
SECURITIES AMERICA, INC. (CHARLOTTE NC)
NC
03/01/2019 - 12/19/2022
WOODBURY FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
01/10/2017 - 03/01/2019
QUESTAR CAPITAL CORPORATION (CHARLOTTE NC)
NC
10/18/2010 - 01/03/2017
CAPITAL GUARDIAN, LLC (CHARLOTTE NC)
NC
12/08/2006 - 10/14/2010
SECURIAN FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
03/03/2006 - 11/20/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MA
08/30/2005 - 02/06/2006
SIGNATOR INVESTORS, INC. (BOSTON MA)
MN
01/08/2002 - 08/02/2005
SECURIAN FINANCIAL SERVICES, INC. (ST. PAUL MN)
BOTH
Issued 03/27/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/27/2010
Series 4 - Registered Options Principal Examination
BC
Issued 06/13/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/17/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 08/20/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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