Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Clarence Wachendorf is a financial advisor at LPL Financial LLC. James has been in the industry since 1981 and has worked at several financial institutions including Cambridge Investment Research, Inc., Nations Financial Group, Inc., Aegon USA Securities Inc., Perpetual Investment Associates and Dain, Bosworth Incorporated. James is a Certified Financial Planner and has various licenses and registrations across multiple states, including Iowa and Texas. James specializes in financial planning, investment management, and consulting.
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
IA
09/30/2020 - Present
LPL Financial LLC (IOWA CITY IA)
IA
10/28/2019 - 10/15/2020
CAMBRIDGE INVESTMENT RESEARCH, INC. (Iowa City IA)
IA
03/16/1998 - 10/28/2019
NATIONS FINANCIAL GROUP, INC. (IOWA CITY IA)
IA
04/03/1989 - 03/16/1998
AEGON USA SECURITIES INC. (CEDAR RAPIDS IA)
NA
11/25/1987 - 04/27/1989
PERPETUAL INVESTMENT ASSOCIATES
NA
08/06/1981 - 08/11/1987
DAIN, BOSWORTH INCORPORATED
BC
Issued 10/16/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/06/1992
Series 24 - General Securities Principal Examination
BC
Issued 08/11/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1981
Series 7 - General Securities Representative Examination
BC
Issued 08/23/1980
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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