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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames George Farris is a financial advisor with Cetera Investment Advisers LLC, providing investment advice and financial planning services. James has been working in the financial industry since 1994 and has experience with various financial products and services. Previously, James worked for VOYA FINANCIAL ADVISORS, INC. and Locust Street Securities, Inc., and Fidelity Equity Services Corporation. James is licensed in several states, including Texas, California, Florida, and Illinois. James is also registered with the Securities and Exchange Commission (SEC) as an investment adviser representative.
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
TX
06/29/2023 - Present
Cetera Investment Advisers LLC (HOUSTON TX)
TX
01/01/2004 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (HOUSTON TX)
IA
04/25/1995 - 01/01/2004
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
NA
06/23/1994 - 04/12/1995
FIDELITY EQUITY SERVICES CORPORATION
IA
Issued 8/23/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/2/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/22/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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