Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Clark is a financial professional with over 23 years of experience in the industry. James is a registered representative with Vanguard Marketing Corp., and holds a Series 6, 7, 24, 53, and 63. James is also a registered principal with Vanguard Marketing Corp.. James has held previous positions with CCO CAPITAL, LLC, UMB DISTRIBUTION SERVICES, LLC, HORNOR, TOWNSEND & KENT, INC., 1717 CAPITAL MANAGEMENT COMPANY, PRUCO SECURITIES CORPORATION and SUNAMERICA SECURITIES, INC..
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.
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.
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2
PA
03/07/2022 - Present
Vanguard Marketing Corp. (MALVERN PA)
AZ
06/04/2021 - 11/23/2021
CCO CAPITAL, LLC (PHOENIX AZ)
PA
02/10/2014 - 09/14/2020
UMB DISTRIBUTION SERVICES, LLC (CHADDS FORD PA)
PA
11/03/2004 - 02/28/2013
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
DE
08/03/2000 - 10/26/2004
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
NJ
04/17/1997 - 11/30/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
AZ
06/03/1996 - 08/16/1996
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 08/06/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/02/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/05/2001
Series 4 - Registered Options Principal Examination
BC
Issued 06/22/2001
Series 24 - General Securities Principal Examination
BC
Issued 08/07/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2001
Series 7 - General Securities Representative Examination
BC
Issued 05/24/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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