Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Charles Aughenbaugh is a financial advisor in DALLAS, TX. James is registered with Stephens. James has been a financial advisor for over 28 years. James has a strong background in financial planning, portfolio management, and investment strategies. James's experience spans across several firms, including Morgan Stanley, Citigroup Global Markets Inc., Raymond James & Associates, Inc., Prospera Financial Services, Inc., Chatfield Dean & Co., Inc., Addison Securities, Inc., and Rauscher Pierce Refsnes, 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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
06/24/2013 - Present
Stephens (DALLAS TX)
TX
06/01/2009 - 06/28/2013
MORGAN STANLEY (SOUTHLAKE TX)
TX
02/29/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SOUTHLAKE TX)
TX
06/19/2001 - 03/04/2008
RAYMOND JAMES & ASSOCIATES, INC. (DALLAS TX)
TX
04/21/1997 - 07/19/2001
PROSPERA FINANCIAL SERVICES, INC. (DALLAS TX)
CO
07/01/1996 - 04/22/1997
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
TX
04/21/1995 - 07/22/1996
ADDISON SECURITIES, INC. (DALLAS TX)
TX
01/27/1995 - 04/25/1995
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
BOTH
Issued 05/18/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/11/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/18/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/26/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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