Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Harter is a financial professional with over 30 years of experience in the financial services industry. James is currently registered with Equity Services, Inc. and has held prior registrations with OneAmerica Securities, Inc., American United Life Insurance Company, and Northwestern Mutual Investment Services, Inc.. James specializes in providing financial planning, portfolio management and pension consulting services to individuals, families, and businesses. James holds a Series 6, 7, and 63 license. James also holds the Chartered Financial Consultant (ChFC) designation.
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.
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.
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2
NC
09/28/2021 - Present
Equity Services, Inc. (CHARLOTTE NC)
TN
12/17/2001 - 04/03/2014
ONEAMERICA SECURITIES, INC. (BRENTWOOD TN)
IN
11/28/1995 - 12/17/2001
AMERICAN UNITED LIFE INSURANCE COMPANY (INDIANAPOLIS IN)
WI
11/18/1988 - 08/09/1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
BC
Issued 02/12/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2007
Series 7 - General Securities Representative Examination
BC
Issued 11/17/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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