Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Heynen is a financial professional with over 24 years of experience in the financial services industry. James is currently registered with LPL Enterprise, LLC. James has previously been registered with NYLIFE Securities LLC, SAGEPOINT FINANCIAL, INC., SCF SECURITIES, INC., AMERICAN GENERAL SECURITIES INCORPORATED, PRUDENTIAL SECURITIES INCORPORATED, PRUCO SECURITIES CORPORATION and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA. James is a licensed investment advisor representative in California. James holds licenses in Series 6, 7, 9, 10, 26, 63, 65 and 66 and the SIE.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory 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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CA
11/14/2024 - Present
LPL Enterprise, LLC (IRVINE CA)
CA
06/06/2016 - 04/09/2018
NYLIFE SECURITIES LLC (IRVINE CA)
CA
12/27/2013 - 01/09/2016
SAGEPOINT FINANCIAL, INC. (SANTA ANA CA)
CA
12/18/2006 - 10/18/2007
SCF SECURITIES, INC. (SAN DIEGO CA)
AZ
03/01/2002 - 12/31/2004
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
NY
02/21/2001 - 07/16/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
03/22/1990 - 03/27/2001
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
03/22/1990 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 12/07/2016
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 01/22/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/25/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2018
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 02/06/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/05/2000
Series 9 - General Securities Sales Supervisor - Options Module 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 12/26/2013
Series 7 - General Securities Representative Examination
BC
Issued 03/20/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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