Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leger has been in the financial services industry since 1987. James is currently registered with Avantax Advisory Services as a Registered Representative. James previously worked with CETERA FINANCIAL SPECIALISTS LLC and C.J.M. PLANNING CORP.. James holds the Series 6, 7, 22 and 63 securities licenses as well as the SIE. James is a Registered Representative with Avantax Advisory Services and is licensed to conduct business in New York.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
NY
09/02/2021 - Present
Avantax Advisory Services (HUNTINGTON STATION NY)
NY
10/24/2005 - 08/05/2015
CETERA FINANCIAL SPECIALISTS LLC (HUNTINGTON STATION NY)
NJ
12/03/1997 - 10/24/2005
C. J. M. PLANNING CORP. (POMPTON LAKES NJ)
TX
08/10/1987 - 11/12/1997
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
BC
Issued 08/12/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
BC
Issued 08/19/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/06/1987
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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