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 Morgan is a financial advisor registered with Principal Securities, Inc. in Birmingham, Alabama. James has been in the financial services industry since 2001 and holds the Series 6, SIE, and Series 63 securities licenses. James has experience providing financial advice and services to individuals, businesses, and high-net-worth clients. Previously, James has been employed by Allstate Financial Services, LLC and Northwestern Mutual Investment Services, LLC. In addition to offering investment advisory services, James also assists clients with financial planning, pension consulting, and educational seminars.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
AL
12/17/2009 - Present
Principal Securities, Inc. (Birmingham AL)
AL
05/19/2008 - 12/11/2009
ALLSTATE FINANCIAL SERVICES, LLC (BIRMINGHAM AL)
AL
11/14/2001 - 04/11/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (HOOVER AL)
BC
Issued 09/16/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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