Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Denis Pafundi has been a financial professional since 1997. James is currently registered with LPL Financial LLC. James has a wide range of experience, having worked for several firms, including Wells Fargo Investments, LLC, UBS Financial Services Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Fortress Financial Group, LTD., Lloyd Wade Securities Inc., and Rickel & Associates, Inc. James holds Series 7, 24, 31, 63, 65 and 66 licenses, and is registered in 15 states. James has a broad range of expertise, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. James is committed to providing clients with personalized financial advice and 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.
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2
WA
12/09/2011 - Present
LPL Financial LLC (LONGVIEW WA)
CA
08/08/2008 - 07/06/2010
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
NJ
07/21/2003 - 06/01/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MO
07/01/2003 - 07/24/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/01/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
SC
02/25/1998 - 05/11/1998
FORTRESS FINANCIAL GROUP, LTD. (ISLE OF PALMS SC)
TX
05/05/1997 - 02/09/1998
LLOYD WADE SECURITIES INC. (DALLAS TX)
NY
10/14/1996 - 07/28/1997
RICKEL & ASSOCIATES, INC. (NEW YORK NY)
IA
Issued 09/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/14/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2002
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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