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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Tobias has been in the financial services industry for over 20 years. James currently works as an investment advisor representative at Thrivent Investment Management Inc. in Warrenton, VA. James has a strong background in investments and financial planning, and is committed to helping clients achieve their financial goals. Prior to joining Thrivent Investment Management Inc., James held positions at various financial institutions including Wells Fargo Advisors, LLC, UBS Financial Services Inc., and Citigroup Global Markets Inc. James is also a registered representative with FINRA and has a Series 7, Series 63, and Series 65 licenses. James is dedicated to providing personalized financial advice and building strong relationships with clients.
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.
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.
A percentage of the total value of assets under management is charged.
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VA
02/01/2016 - Present
Thrivent Investment Management Inc. (Warrenton VA)
VA
10/28/2013 - 11/25/2015
SUNTRUST INVESTMENT SERVICES, INC. (CHANTILLY VA)
VA
02/19/2009 - 10/22/2013
WELLS FARGO ADVISORS, LLC (GAINESVILLE VA)
VA
11/30/2007 - 01/27/2009
UBS FINANCIAL SERVICES INC. (VIENNA VA)
VA
10/28/2002 - 10/04/2007
CITIGROUP GLOBAL MARKETS INC. (MCLEAN VA)
IA
Issued 05/08/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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