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James Edward McFarlane

THE Leaders Group, Inc.

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About James Edward McFarlane

James Edward McFarlane is a financial professional with over 20 years of experience in the industry. James currently holds a Series 6, 72, 26, and 63 license, and has been registered with the Leaders Group, Inc. since 2019. James has also previously been registered with firms such as World Equity Group, Inc., Woodbury Financial Services, Inc., Phoenix Equity Planning Corporation, WS Griffith Securities, Inc., Advantage Capital Corporation, and Travelers Equities Sales, Inc. James is a licensed financial professional in the state of Illinois.

Firm Information

James McFarlane is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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James McFarlane’s Registration & Firm History

CO

06/13/2019 - Present

THE Leaders Group, Inc. (LITTLETON CO)

IL

12/22/2016 - 06/07/2017

WORLD EQUITY GROUP, INC. (SCHAUMBURG IL)

IL

12/07/2011 - 12/31/2014

WOODBURY FINANCIAL SERVICES, INC. (WARRENVILLE IL)

PA

02/04/2009 - 02/02/2010

PHOENIX EQUITY PLANNING CORPORATION (PHILADELPHIA PA)

IL

04/01/2003 - 02/04/2009

PHOENIX EQUITY PLANNING CORPORATION (DOWNERS GROVE IL)

CT

12/02/1995 - 01/22/2004

WS GRIFFITH SECURITIES, INC. (HARTFORD CT)

GA

08/15/1994 - 05/23/1995

ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)

CA

08/15/1994 - 08/15/1994

TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)

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Licenses & Designations

BC

Issued 11/10/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/26/2002

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 06/07/2017

SIE - Securities Industry Essentials Examination

BC

Issued 08/12/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for James Edward McFarlane. Review regulatory record here.
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