Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Earl Ewing is a registered investment advisor representative with Harbour Investments, Inc. James has been in the financial services industry since 2001 and has experience with a variety of firms, including Woodbury Financial Services, Inc., BMO Harris Financial Advisors, Inc., Thrivent Investment Management Inc., and Lutheran Brotherhood Securities Corp. James is registered to provide investment advice in multiple states, including California, Colorado, Florida, Michigan, Minnesota, Oregon, South Carolina, and Wisconsin. James holds the Series 6, 7, 63, 66, SIE and 6TO securities licenses. James specializes in retirement planning, investment management, and financial planning.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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
WI
10/21/2016 - Present
Harbour Investments, Inc. (Madison WI)
WI
06/02/2015 - 10/26/2016
WOODBURY FINANCIAL SERVICES, INC. (MADISON WI)
IL
06/25/2014 - 10/21/2014
BMO HARRIS FINANCIAL ADVISORS, INC. (CHICAGO IL)
MN
07/01/2002 - 08/28/2002
THRIVENT INVESTMENT MANAGEMENT INC. (MINNEAPOLIS MN)
MN
07/06/2001 - 07/01/2002
LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)
BOTH
Issued 06/10/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/31/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2014
Series 7 - General Securities Representative Examination
BC
Issued 07/05/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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