Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Frances Fischer is a financial advisor with LPL Financial LLC. James has been in the financial industry since 1989 and has held registrations with several firms. James has expertise in providing investment advice and financial planning. James has been registered with LPL Financial LLC since 2018. James holds the following licenses: Series 6, Series 7, Series 63, and Series 66. James also holds the SIE Exam. James is a registered investment advisor in Wisconsin and holds broker-dealer registrations in Arkansas, Florida, North Carolina, Ohio, South Carolina, Virginia, and Wisconsin.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
WI
07/19/2018 - Present
LPL Financial LLC (NEENAH WI)
WI
06/11/1991 - 07/18/2018
WOODBURY FINANCIAL SERVICES, INC. (NEENAH WI)
CT
06/27/1990 - 06/18/1991
NWNL MANAGEMENT CORPORATION (WINDSOR CT)
CT
05/30/1989 - 05/25/1990
NWNL MANAGEMENT CORPORATION (WINDSOR CT)
BOTH
Issued 10/02/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/12/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 05/26/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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