Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Madan is a financial advisor with over 15 years of experience in the financial services industry. James Madan has a Series 7, 6, 63, 65, 24, and SIE license. James Madan is currently registered with LPL Financial LLC. James Madan has previously worked at KEY INVESTMENT SERVICES LLC and KNIGHT EQUITY MARKETS, L.P. James Madan specializes in providing financial planning, portfolio management for individuals and businesses, educational seminars, consulting and other non-discretionary advisory services, and selection of other advisors. James Madan is also affiliated with Northwest Investment Services and Northwest Bank.
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
NY
08/03/2021 - Present
LPL Financial LLC (BUFFALO NY)
NY
09/21/2016 - 09/30/2016
KEY INVESTMENT SERVICES LLC (NORTH TONAWANDA NY)
NY
11/05/2015 - 09/21/2016
LPL FINANCIAL LLC (NORTH TONAWANDA NY)
NJ
07/27/1998 - 07/21/2004
KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)
IA
Issued 01/18/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/28/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/05/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/15/1998
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
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