Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Garner is a financial advisor with over 15 years of experience in the financial services industry. James is a CERTIFIED FINANCIAL PLANNER™ professional. James has worked with a variety of firms including Janney Montgomery Scott LLC, TIAA-CREF Individual & Institutional Services, LLC, and Morgan Stanley Smith Barney. James currently works with LPL Financial LLC in Rockville, Maryland.
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
MD
04/17/2024 - Present
LPL Financial LLC (ROCKVILLE MD)
DC
11/14/2018 - 01/29/2024
JANNEY MONTGOMERY SCOTT LLC (WASHINGTON DC)
DC
01/31/2012 - 12/21/2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (WASHINGTON DC)
DC
06/30/2010 - 01/11/2012
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
NC
01/15/2010 - 04/22/2010
PARK AVENUE SECURITIES LLC (CHARLOTTE NC)
NC
05/11/2009 - 08/14/2009
NEW ENGLAND SECURITIES (CHARLOTTE NC)
NC
11/28/2006 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
11/29/2005 - 11/08/2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
PA
10/15/2004 - 11/01/2005
VANGUARD MARKETING CORPORATION (MALVERN PA)
BC
Issued 04/12/2019
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/20/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2015
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/07/2008
Series 7 - General Securities Representative Examination
BC
Issued 10/14/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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