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 Marshall has over 30 years of experience in the financial services industry. James is currently a Registered Investment Advisor Representative with Spectrum Investment Advisors, Inc. James has held previous positions with LPL FINANCIAL LLC, H. BECK, INC. and MUTUAL BENEFIT FINANCIAL SERVICE COMPANY. James holds Series 6, 63, 65 and SIE licenses, and has a strong understanding of investment strategies and financial planning. James specializes in providing financial advice to individuals, families, and small 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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advice on matters not involving securities.
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.
By plan participant flat fees
1
2
WI
12/13/1999 - Present
Spectrum Investment Advisors, Inc. (MEQUON WI)
WI
03/31/2011 - 10/15/2015
LPL FINANCIAL LLC (MEQUON WI)
WI
05/10/1990 - 04/25/2011
H. BECK, INC. (MEQUON WI)
NA
12/23/1983 - 05/19/1988
MUTUAL BENEFIT FINANCIAL SERVICE COMPANY
IA
Issued 02/17/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/15/2015
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/22/1983
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
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