Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gates is a financial advisor with over 25 years of experience. James is registered with Planmember Securities Corp. and Superior Planning, Inc. James has held prior positions with firms including Royal Alliance Associates, Inc., Legend Equities Corporation, Lincoln Investment Planning, Inc., MetLife Securities Inc., and Metropolitan Life Insurance Company. James has a strong background in financial planning, investment advisory, and insurance sales. James provides investment supervisory services, financial planning, pension consulting, and educational seminars. James has a client base that includes high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. James has expertise in a range of financial services, including portfolio management, investment management, and insurance. James is a Series 6, 63, 26, and 65 licensed advisor. James is a highly experienced financial advisor and is dedicated to providing his clients with the highest level of service.
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.
Provides investment supervisory 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
CA
09/26/2008 - Present
Planmember Securities Corp. (CARPINTERIA CA)
CA
02/01/2007 - 09/26/2008
ROYAL ALLIANCE ASSOCIATES, INC. (SAN DIEGO CA)
CA
05/04/2005 - 01/31/2007
LEGEND EQUITIES CORPORATION (SAN DIEGO CA)
PA
02/15/2000 - 05/10/2005
LINCOLN INVESTMENT PLANNING, INC. (FORT WASHINGTON PA)
MA
02/10/1998 - 01/28/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
02/10/1998 - 01/28/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
CA
08/12/1997 - 11/24/1997
PIM FINANCIAL SERVICES, INC. (SAN MARCOS CA)
IA
Issued 04/14/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Gates is the right advisor for you? Invested Better is here to help.
