Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis is a financial advisor currently affiliated with LPL Financial LLC. James has been a financial advisor since September 21, 2010. James has a Series 7, Series 66, and SIE license. James is currently licensed to offer financial advice in the states of Arizona, California, Colorado, Florida, Idaho, Kansas, Michigan, Montana, New Mexico, Oregon, South Dakota, Texas, Utah, and Washington. James is also a registered investment advisor (IA) in the state of Montana and Utah. James was previously affiliated with Securities America, Inc., and KMS Financial Services, Inc. James's experience in the financial services industry makes him a valuable asset to clients seeking financial guidance.
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
MT
11/16/2021 - Present
LPL Financial LLC (MISSOULA MT)
MT
11/06/2020 - 11/24/2021
SECURITIES AMERICA, INC. (MISSOULA MT)
MT
09/22/2010 - 11/06/2020
KMS FINANCIAL SERVICES, INC. (MISSOULA MT)
BOTH
Issued 10/29/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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