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 Hatcher is an investment advisor representative with Avantax Advisory Services, registered in the states of Alabama, Colorado, District of Columbia, Florida, Georgia, Illinois, Indiana, Maryland, Michigan, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia. James has been working in the financial industry since October 1996, previously holding positions at Wachovia Securities, LLC, First Union Capital Markets Corp., and Northeast Securities, Inc. James is licensed to sell securities in all the aforementioned states and holds Series 7, Series 31, Series 63, Series 65 and SIE licenses.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
NC
01/25/2024 - Present
Avantax Advisory Services (Roseman NC)
MO
10/01/1999 - 08/14/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/02/1997 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
10/08/1996 - 01/23/1997
NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)
IA
Issued 09/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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