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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lovell is a financial advisor with over 14 years of experience in the financial services industry. James currently works at Morgan Stanley in Albuquerque, NM, providing investment advisory and financial planning services. James previously worked at TD Ameritrade, Inc., ScotTrade, Inc., USAA Financial Advisors, Inc., and Waddell & Reed, Inc. James is registered with the Securities and Exchange Commission and has earned several securities licenses including Series 63, Series 66, Series 7, Series 9, and Series 10. James specializes in providing financial advice to individuals, families, and businesses. James's experience and expertise make him a valuable resource for clients seeking to achieve their financial goals.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NM
12/21/2022 - Present
Morgan Stanley (Albuquerque NM)
PA
02/26/2018 - 01/11/2021
TD AMERITRADE, INC. (MOOSIC PA)
OK
11/01/2016 - 02/26/2018
SCOTTRADE, INC. (OKLAHOMA CITY OK)
TX
08/07/2012 - 10/21/2016
USAA FINANCIAL ADVISORS, INC. (ADDISON TX)
TX
05/18/2012 - 07/25/2012
WADDELL & REED, INC. (SOUTHLAKE TX)
TX
08/02/2006 - 03/20/2012
TD AMERITRADE, INC. (FORT WORTH TX)
NJ
04/06/2005 - 11/30/2005
THE GMS GROUP, LLC (EAST HANOVER NJ)
BOTH
Issued 12/04/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/18/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/28/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/09/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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