Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lilly is a registered representative with Osaic Wealth, Inc., a financial advisory firm based in Scottsdale, Arizona. James has over 20 years of experience in the financial services industry. James holds Series 7, 7TO, 25, 55, 63 and 66 licenses and is registered in New York. James has worked with a number of firms including Securities America, Inc., Wells Fargo Clearing Services, LLC, The Griswold Company, Incorporated and National Financial Services LLC. James provides financial planning services to individuals, families, and businesses.
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.
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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2
NY
06/14/2024 - Present
Osaic Wealth, Inc. (UNIONDALE NY)
NY
06/22/2023 - 06/14/2024
SECURITIES AMERICA, INC. (GARDEN CITY NY)
NY
07/14/2014 - 07/31/2020
WELLS FARGO CLEARING SERVICES, LLC (HUNTINGTON NY)
NY
04/03/2012 - 06/25/2013
WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)
NY
01/02/2009 - 04/05/2010
THE GRISWOLD COMPANY, INCORPORATED (NEW YORK NY)
NJ
07/27/2006 - 01/09/2009
NATIONAL FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NY
12/17/2008 - 12/18/2008
THE GRISWOLD COMPANY, INCORPORATED (NEW YORK NY)
NY
10/02/2003 - 07/27/2006
CORRESPONDENT SERVICES CORPORATION (NEW YORK NY)
MA
03/12/2001 - 05/11/2004
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
NJ
05/18/1998 - 02/22/2001
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
04/15/1998 - 05/22/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/12/1997 - 10/16/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 10/17/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/20/1999
Series 25 - NYSE Trading Assistant Examination
BC
Issued 09/11/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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