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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nix is a financial advisor currently registered with LPL Financial LLC, an independent broker-dealer, with a branch office in Birmingham, Alabama. James has been in the financial services industry for over 35 years. He is licensed in several states and specializes in providing a wide range of financial services to individuals, businesses, and retirement plans. James has a strong understanding of the financial markets and has a proven track record of success in helping clients achieve their financial goals. His expertise includes investment advice, financial planning, retirement planning, insurance, and estate planning. James also holds a Series 3, 7, and 63 licenses. Prior to joining LPL Financial LLC, James has worked with Triad Advisors, LLC and MML Investors Services, Inc.
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
AL
04/13/2020 - Present
LPL Financial LLC (BIRMINGHAM AL)
AL
06/02/2006 - 03/24/2020
TRIAD ADVISORS LLC (BIRMINGHAM AL)
AL
01/08/2002 - 06/03/2006
MML INVESTORS SERVICES, INC. (BIRMINGHAM AL)
CA
12/04/1996 - 12/31/2001
ROUND HILL SECURITIES, INC. (ALAMO CA)
CA
09/28/1995 - 12/11/1996
INTERNATIONAL SECURITIES GROUP, INC. (SAN DIEGO CA)
CA
11/01/1993 - 09/28/1995
VANGUARD CAPITAL (DEL MAR CA)
TN
12/11/1990 - 11/10/1993
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
AL
04/18/1986 - 12/20/1990
CENTRAL BROKERAGE SERVICES, INC. (BIRMINGHAM AL)
IA
Issued 10/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1987
Series 3 - National Commodity Futures Examination
BC
Issued 12/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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