Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McCaffrey is a financial professional with over 10 years of experience in the financial services industry. James currently works for Innovation Partners LLC, a registered investment advisor based in Charlotte, NC. Previously, James was a financial advisor with LPL Financial LLC in Los Angeles, CA. James has a strong track record of success in providing financial planning and portfolio management services to individuals and businesses. James holds the Series 3, 7, 63, 65, and 66 licenses, as well as the Series 30 license. James is also a registered representative of Innovation Partners LLC.
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.
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.
Consulting services to qualified retirement plans
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.
Recurring fee
1
2
NC
04/11/2022 - Present
Innovation Partners LLC (CHARLOTTE NC)
CA
01/27/2014 - 02/26/2019
LPL FINANCIAL LLC (LOS ANGELES CA)
CA
02/04/2010 - 10/23/2013
MORGAN STANLEY (LOS ANGELES CA)
CA
06/06/2008 - 02/05/2010
UBS FINANCIAL SERVICES INC. (BEVERLY HILLS CA)
NA
09/16/1991 - 03/11/1992
KIDDER, PEABODY & CO. INCORPORATED
BOTH
Issued 12/22/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/05/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2021
Series 30 - NFA Branch Manager Examination
BC
Issued 06/09/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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