Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Graham is a financial professional with over 12 years of experience in the industry. James is currently registered with Franklin Distributors, LLC and is licensed in 52 states. Previously, James worked for FORESIDE FUND SERVICES, LLC, TCW FUNDS DISTRIBUTORS LLC and AMERICAN CENTURY INVESTMENT SERVICES INC. James holds the Series 6, 7 and 63 licenses, as well as the Securities Industry Essentials (SIE) exam.
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.
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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2
MD
05/30/2024 - Present
Franklin Distributors, LLC (BALTIMORE MD)
KS
07/20/2022 - 05/17/2024
FORESIDE FUND SERVICES, LLC (Mission Woods KS)
CA
01/20/2016 - 07/05/2022
TCW FUNDS DISTRIBUTORS LLC (LOS ANGELES CA)
MO
06/14/2012 - 01/15/2016
AMERICAN CENTURY INVESTMENT SERVICES INC. (KANSAS CITY MO)
BC
Issued 06/25/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2016
Series 7 - General Securities Representative Examination
BC
Issued 06/13/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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