Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Clark Harmon is a financial advisor with over 20 years of experience in the financial services industry. James is currently registered with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc. in Connecticut. James has a broad range of experience and is well-equipped to help clients achieve their financial goals. James is a highly qualified professional with a strong commitment to providing exceptional service to clients. James has a track record of success in helping individuals, families, and businesses achieve their financial goals. James is dedicated to providing personalized financial advice and solutions to help clients achieve their financial aspirations.
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.
Please see note in schedule d - miscellaneous
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
CT
11/24/2021 - Present
Raymond James & Associates, Inc. (Enfield CT)
NE
04/09/2021 - 11/17/2021
SECURITIES AMERICA, INC. (LAVISTA NE)
GA
04/09/2021 - 11/17/2021
TRIAD ADVISORS LLC (ATLANTA GA)
MN
03/06/2014 - 11/17/2021
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
01/26/2011 - 11/17/2021
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
01/26/2011 - 11/17/2021
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
AZ
10/31/2005 - 11/17/2021
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
05/20/2003 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
MN
12/23/1999 - 08/26/2002
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
12/23/1999 - 08/26/2002
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/31/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/24/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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