Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames David Banks is a financial advisor with Cetera Investment Advisers LLC. James has been in the industry since 1976. Prior to joining Cetera Investment Advisers LLC, James worked at First Allied Securities, Inc. and FFP Securities, Inc. James is registered to provide investment advice in Kansas and Missouri. James holds the Series 1, 7, 24, 6TO and SIE securities licenses. James also works as a substitute teacher, an insurance agent, and a consultant.
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.
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.
1
2
MO
11/12/2020 - Present
Cetera Investment Advisers LLC (COLUMBIA MO)
MO
05/30/2008 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (COLUMBIA MO)
MO
03/07/1994 - 05/30/2008
FFP SECURITIES, INC. (COLUMBIA MO)
MO
04/20/1976 - 04/06/1992
N.I.S. FINANCIAL SERVICES, INC. (KANSAS CITY MO)
BC
Issued 03/25/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1999
Series 7 - General Securities Representative Examination
BC
Issued 04/09/1976
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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