Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Buckley is a financial advisor in Lone Tree, Colorado. James Buckley has been in the industry since September 11, 2003. James Buckley is currently registered with Charles Schwab & CO., Inc. and has also been previously registered with USAA FINANCIAL ADVISORS, INC. and T. ROWE PRICE INVESTMENT SERVICES, INC.. James Buckley holds multiple securities licenses including Series 6, 7, 9, 10, 63 and 65. James Buckley also holds the Securities Industry Essentials (SIE) designation.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CO
05/23/2020 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CO
10/02/2015 - 05/24/2020
USAA FINANCIAL ADVISORS, INC. (COLORADO SPRINGS CO)
CO
06/13/2001 - 07/03/2013
T. ROWE PRICE INVESTMENT SERVICES, INC. (COLORADO SPRINGS CO)
IA
Issued 04/25/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/10/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2015
Series 7 - General Securities Representative Examination
BC
Issued 06/12/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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