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 Worfolk is an investment advisor representative with Private Advisor Group, LLC. James has been in the financial industry since 1995 and holds Series 6, 7, 31, 63, 65 and SIE licenses. James works with a variety of clients, including individuals, corporations, trusts, estates, pension and profit sharing plans, charitable organizations, and insurance companies. James is a member of the Financial Industry Regulatory Authority (FINRA). James is registered as an Investment Advisor Representative in Virginia and Texas and is also registered as a Broker-Dealer in 18 other states.
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.
Solicitation/referral
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.
Solicitor/referral fees
1
2
VA
11/30/2018 - Present
Private Advisor Group, LLC (Alexandria VA)
VA
01/25/2008 - 05/12/2010
MICG INVESTMENT MANAGEMENT, LLC (ALEXANDRIA VA)
VA
04/02/2007 - 01/31/2008
MORGAN STANLEY & CO., INCORPORATED (ALEXANDRIA VA)
VA
02/13/1998 - 04/02/2007
MORGAN STANLEY DW INC. (ALEXANDRIA VA)
GA
08/22/1995 - 01/06/1998
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 03/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 03/05/1998
Series 7 - General Securities Representative Examination
BC
Issued 08/21/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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