Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bernard Poole is a financial advisor with over 35 years of experience in the industry. James is currently registered with LPL Financial LLC, where James provides financial planning, portfolio management for individuals and businesses, and other non-discretionary advisory services. Prior to joining LPL Financial LLC, James worked with WELLS FARGO CLEARING SERVICES, LLC and STEPHENS. James holds a Series 3, 7, 63, and 65 license and a Securities Industry Essentials (SIE) certification. James has also been registered with the states of Florida, Louisiana, North Carolina, Pennsylvania and South Carolina.
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
PA
05/09/2018 - Present
LPL Financial LLC (READING PA)
SC
05/24/2013 - 05/08/2018
WELLS FARGO CLEARING SERVICES, LLC (COLUMBIA SC)
SC
12/15/2006 - 05/30/2013
STEPHENS (COLUMBIA SC)
SC
02/21/2006 - 12/20/2006
CITIGROUP GLOBAL MARKETS INC. (COLUMBIA SC)
MD
09/22/1998 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
08/11/1995 - 09/23/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
12/17/1985 - 08/09/1995
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 02/27/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1987
Series 3 - National Commodity Futures Examination
BC
Issued 12/14/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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