Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Galen Sorey is a financial advisor with over 20 years of experience in the industry. James currently holds his Series 7 and 66 licenses and is registered with Newedge Securities, Inc. James has previously held positions with LPL Financial LLC, Avantax Investment Services, Inc., Lincoln Financial Advisors Corporation, Lincoln Financial Securities Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is also licensed to provide investment advice in Louisiana.
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
PA
01/17/2024 - Present
Newedge Securities, Inc. (PITTSBURGH PA)
LA
10/15/2021 - 12/20/2023
LPL FINANCIAL LLC (BATON ROUGE LA)
TX
02/18/2021 - 11/09/2021
AVANTAX INVESTMENT SERVICES, INC. (DALLAS TX)
IN
07/16/2015 - 03/27/2017
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
07/16/2015 - 03/27/2017
LINCOLN FINANCIAL SECURITIES CORPORATION (FORT WAYNE IN)
CA
01/24/2002 - 01/27/2015
LPL FINANCIAL LLC (SAN DIEGO CA)
NJ
09/22/2000 - 10/31/2001
NYLIFE DISTRIBUTORS INC. (JERSEY CITY NJ)
NY
09/22/2000 - 10/31/2001
NYLIFE SECURITIES INC. (NEW YORK NY)
CT
02/01/1999 - 08/19/1999
PILGRIM SECURITIES, INC. (WINDSOR CT)
CA
03/12/1998 - 01/29/1999
NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP) (SAN DIEGO CA)
NY
11/06/1995 - 09/03/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/08/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/12/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2021
Series 7TO - General Securities Representative Examination
BC
Issued 03/27/2017
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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