Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Zents is a financial advisor at Fidelity Personal And Workplace Advisors. James has been in the financial industry since 2009. James is registered with the Securities and Exchange Commission (SEC) as a Registered Representative and Investment Advisor Representative. James also holds a Series 66 license. James specializes in providing financial planning, portfolio management 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.
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.
A percentage of the total value of assets under management is charged.
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2
KY
05/10/2021 - Present
Fidelity Personal AND Workplace Advisors (COVINGTON KY)
OH
08/14/2012 - 05/07/2018
GREAT AMERICAN ADVISORS, INC. (CINCINNATI OH)
OH
07/09/2010 - 04/02/2012
WELLS FARGO ADVISORS, LLC (CINCINNATI OH)
KY
07/22/2008 - 11/18/2009
CHASE INVESTMENT SERVICES CORP. (FLORENCE KY)
KY
04/17/2006 - 07/01/2008
NATCITY INVESTMENTS, INC. (FLORENCE KY)
NY
10/27/2005 - 02/10/2006
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 04/02/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/07/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2013
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/01/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/07/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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