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 Farmer is a financial advisor currently registered with The Leaders Group, Inc. based in Littleton, CO. James has been in the industry since 2008 and is licensed to sell securities in 26 states. Before joining The Leaders Group, Inc., James worked at LPL Financial LLC, LPL Financial Corporation and Associated Securities Corp. James holds the Series 6, 7, and SIE licenses.
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
CO
09/28/2016 - Present
THE Leaders Group, Inc. (LITTLETON CO)
IL
05/05/2016 - 09/13/2016
LPL FINANCIAL LLC (HOFFMAN ESTATES IL)
IL
08/08/2012 - 05/08/2014
LPL FINANCIAL LLC (HOFFMAN ESTATES IL)
IL
09/08/2009 - 09/20/2010
LPL FINANCIAL CORPORATION (HOFFMAN ESTATES IL)
IL
03/23/2009 - 09/08/2009
ASSOCIATED SECURITIES CORP. (HOFFMAN ESTATES IL)
IL
11/17/2004 - 02/24/2009
FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)
BC
Issued 12/03/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2007
Series 7 - General Securities Representative Examination
BC
Issued 11/16/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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