Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Price has been in the financial industry since 1988. James is currently registered with Osaic Institutions, Inc., Ladenburg Thalmann & Co. Inc., Triad Advisors LLC, Osaic Wealth, Inc., and Osaic Services, Inc.. James has previously been registered with Securities America, Inc., Woodbury Financial Services, Inc., FSC Securities Corporation, Securities Service Network, LLC, KMS Financial Services, Inc., Investcorp, Inc., NCG Securities LLC, Growth Capital Services, Inc., UBS Financial Services Inc., Prudential Securities Incorporated, Lehman Brothers Inc., and E. F. Hutton & Company Inc.. James holds the Series 3, 7, 8, 24, and 63 licenses. James is a Registered Representative and Investment Advisor Representative.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
CT
03/21/2023 - Present
Osaic Institutions, Inc. (MERIDEN CT)
NE
04/21/2020 - 08/19/2024
SECURITIES AMERICA, INC. (LAVISTA NE)
MN
12/01/2016 - 03/25/2024
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
12/01/2016 - 01/08/2024
FSC SECURITIES CORPORATION (ATLANTA GA)
TN
04/21/2020 - 11/23/2020
SECURITIES SERVICE NETWORK, LLC (KNOXVILLE TN)
WA
04/21/2020 - 11/06/2020
KMS FINANCIAL SERVICES, INC. (SEATTLE WA)
FL
04/21/2020 - 09/16/2020
INVESTACORP, INC. (MIAMI FL)
NJ
07/09/2015 - 11/15/2016
NCG SECURITIES LLC (RED BANK NJ)
NY
07/09/2012 - 07/16/2013
GROWTH CAPITAL SERVICES, INC. (NEW YORK NY)
NJ
12/12/2002 - 08/26/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/03/1992 - 12/16/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/15/1988 - 05/04/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/14/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
BC
Issued 08/14/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/01/1994
Series 24 - General Securities Principal Examination
BC
Issued 08/10/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1984
Series 3 - National Commodity Futures Examination
BC
Issued 02/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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