Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Watt has been in the financial industry since 1999. James is currently registered with Valic Financial Advisors, Inc. James is a registered representative and investment advisor representative. James has experience working for TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, MML DISTRIBUTORS, LLC, MML INVESTORS SERVICES, LLC, Putnam Retail Management Limited Partnership, Financial Network Investment Corporation, John Hancock Funds, Inc., and MFS Fund Distributors, Inc. James has passed the Series 6, Series 7, Series 26 and Series 66 exams. James has a total of 5 approved state registrations. James specializes in providing financial planning, portfolio management, and selection of other advisers.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Recommend wrap accounts to clients
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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2
CT
08/25/2023 - Present
Valic Financial Advisors, Inc. (SOMERS CT)
CT
07/25/2016 - 11/05/2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (HARTFORD CT)
CT
05/01/2014 - 04/19/2016
MML DISTRIBUTORS, LLC (ENFIELD CT)
CT
03/08/2007 - 05/01/2014
MML INVESTORS SERVICES, LLC (ENFIELD CT)
CT
04/26/2005 - 07/09/2007
MML DISTRIBUTORS, LLC (ENFIELD CT)
MA
02/15/2001 - 11/22/2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
CA
06/15/2000 - 02/07/2001
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
MA
06/11/1997 - 09/14/1998
JOHN HANCOCK FUNDS, INC. (BOSTON MA)
MA
08/26/1996 - 05/09/1997
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
BC
Issued 07/02/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 09/30/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/18/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/23/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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