Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moffitt is a financial advisor at LPL Financial LLC in Baton Rouge, Louisiana. James is a registered representative in Louisiana and Texas and holds Series 7, 63 and 66 licenses. James has been in the financial services industry since December 2020. James has previously worked with Geneos Wealth Management, Inc. and Altus Wealth Management. James also owns and operates Traction Sports Performance, a business focused on training athletes in Baton Rouge.
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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LA
12/07/2021 - Present
LPL Financial LLC (BATON ROUGE LA)
LA
12/22/2020 - 11/22/2021
GENEOS WEALTH MANAGEMENT, INC. (BATON ROUGE LA)
BOTH
Issued 09/01/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/22/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/14/2021
Series 7TO - General Securities Representative Examination
BC
Issued 12/22/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/17/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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