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 Polucha is an active financial advisor registered with LPL Financial LLC and holds a Series 6, 7, 24, 63, and 65 licenses. James has been in the industry since September 15, 2000 and is a Certified Financial Planner. James previously worked for M&T Securities, Inc., SunTrust Investment Services, Inc., Legg Mason Wood Walker, Incorporated, and Pruco Securities Corporation. James specializes in various areas including retirement planning, college savings, and investment management.
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.
1
2
MD
06/09/2021 - Present
LPL Financial LLC (GAMBRILLS MD)
MD
11/15/2005 - 06/09/2021
M&T SECURITIES, INC. (SEVERNA PARK MD)
GA
09/28/2001 - 10/21/2005
SUNTRUST INVESTMENT SERVICES, INC. (ATLANTA GA)
MD
12/18/2000 - 10/05/2001
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NJ
02/04/2000 - 05/30/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 05/11/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/24/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/10/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2001
Series 7 - General Securities Representative Examination
BC
Issued 02/03/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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