Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Veale is an active investment advisor representative with over 25 years of experience in the industry. James is registered in North Carolina and South Carolina with U.S. Bancorp Investments, Inc. His primary focus is providing portfolio management for both businesses and individuals. James has experience with financial planning and selection of other advisors. James has also worked with several other firms throughout his career, including OSAIC INSTITUTIONS, INC., EQUITY SERVICES, INC., BB&T SECURITIES, LLC, BB&T INVESTMENT SERVICES, INC., WELLS FARGO ADVISORS, LLC, and FIRST UNION BROKERAGE SERVICES, INC.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
NC
11/29/2023 - Present
U.s. Bancorp Investments, Inc. (Huntersville NC)
NC
02/06/2023 - 11/27/2023
OSAIC INSTITUTIONS, INC. (Charlotte NC)
NC
11/23/2020 - 02/07/2023
EQUITY SERVICES, INC. (CHARLOTTE NC)
NC
01/02/2018 - 05/29/2020
BB&T SECURITIES, LLC (CHARLOTTE NC)
NC
10/26/2010 - 01/02/2018
BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)
SC
10/01/2000 - 08/30/2010
WELLS FARGO ADVISORS, LLC (FT. MILL SC)
NC
03/20/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 03/02/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2010
Series 7 - General Securities Representative Examination
BC
Issued 03/19/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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