Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wallace is a financial advisor with Steward Partners Investment Advisory, LLC. James is based in Newtown, CT and has been in the industry for over 22 years. James has a broad range of experience, having worked with several firms in the past including Infinex Investments, Inc., Quick & Reilly, Inc., and Commonwealth Financial Network. James holds both Series 6, 7 and 63 securities licenses as well as the Uniform Investment Advisor Law Examination (Series 65). James also holds the Securities Industry Essentials Examination (SIE) and has been actively involved in the Newtown community by serving as a board member of Newtown Youth & Family Services. James is dedicated to providing personalized financial advice and guidance to help clients achieve their financial goals.
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.
Financial consulting
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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CT
10/16/2023 - Present
Steward Partners Investment Advisory, LLC (NEWTOWN CT)
CT
09/20/2004 - 10/12/2023
INFINEX INVESTMENTS, INC. (NEWTOWN CT)
NY
06/10/2003 - 10/01/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
05/18/2001 - 05/23/2003
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
NY
10/03/2000 - 05/24/2001
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
IA
Issued 1/24/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/4/2002
Series 7 - General Securities Representative Examination
BC
Issued 10/2/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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