Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames E Herbert is a financial advisor registered with Ameriprise Financial Services, LLC and has been in the industry since July 2021. James has worked for several other firms including Pruco Securities, LLC and J.P. Morgan Securities LLC. James holds both Series 63 and 65 securities licenses and has completed the Series 7TO and SIE exams. James has extensive experience working with a wide range of clients, including individuals, businesses, pension and profit-sharing plans, charitable organizations, and trusts/estates. James specializes in providing financial planning, asset allocation services, and portfolio management.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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2
IL
05/03/2024 - Present
Ameriprise Financial Services, LLC (DOWNERS GROVE IL)
IL
02/16/2024 - 04/26/2024
PRUCO SECURITIES, LLC. (DOWNERS GROVE IL)
IL
04/09/2021 - 10/31/2023
J.P. MORGAN SECURITIES LLC (CHICAGO IL)
IA
Issued 11/03/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/27/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/09/2021
Series 7TO - General Securities Representative Examination
BC
Issued 09/26/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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