Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aycock is a financial advisor with LPL Financial LLC. James has been in the financial industry for over 20 years. James has a wide range of experience and expertise in the financial services industry. James is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 6, 7, 24, 57TO, and 63 licenses, as well as the SIE certification. James specializes in providing financial advice to individuals, families, and businesses. James is dedicated to helping clients achieve their financial goals.
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
SC
03/03/2020 - Present
LPL Financial LLC (FORT MILL SC)
NC
03/01/2018 - 02/18/2020
ALLY INVEST SECURITIES LLC (Charlotte NC)
NC
03/16/2005 - 10/12/2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
MA
12/09/2003 - 02/11/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MO
12/21/2000 - 12/02/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
MN
07/24/2000 - 09/25/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/24/2000 - 09/25/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NJ
11/23/1999 - 06/06/2000
FIRST INVESTORS CORPORATION (EDISON NJ)
IA
Issued 08/08/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/06/2019
Series 24 - General Securities Principal Examination
BC
Issued 05/09/2020
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/22/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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