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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames C. Marshal is an investment advisor representative at The Institute. James has over 20 years of experience in the financial services industry. James has a strong background in portfolio management and financial planning. James is also a Certified Financial Planner. James specializes in providing financial advice to individuals, families, and businesses. James is committed to helping clients achieve their financial goals. Prior to joining The Institute, James worked at SIGMA FINANCIAL CORPORATION, LEGACY FINANCIAL SERVICES, INC., SUMMIT BROKERAGE SERVICES, INC., SECURITIES SERVICE NETWORK, INC. and QUICK & REILLY, 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.
Comprehensive financial plans to help you achieve your personal and business goals.
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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CO
01/01/2025 - Present
THE Institute (DENVER CO)
FL
01/13/2004 - 03/04/2013
SIGMA FINANCIAL CORPORATION (MELBOURNE FL)
CA
08/13/2003 - 01/13/2004
LEGACY FINANCIAL SERVICES, INC. (PETALUMA CA)
FL
02/08/2000 - 09/11/2003
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
TN
03/02/1999 - 02/13/2000
SECURITIES SERVICE NETWORK, INC. (KNOXVILLE TN)
NY
05/08/1998 - 02/09/1999
QUICK & REILLY, INC. (NEW YORK NY)
MI
09/20/1996 - 04/21/1998
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 08/12/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/20/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/19/1996
Series 52 - Municipal Securities Representative Examination
Active
Inactive
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