Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Harrison is a financial advisor with LPL Financial LLC in Birmingham, Alabama. James has been in the financial industry since 1992. James is a registered representative of LPL Financial LLC. James has a Series 7, Series 31, Series 63, and Series 65 license. James has been registered with LPL Financial LLC since 2015. Prior to that, James was registered with Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, and A. G. Edwards & Sons, Inc.. James provides financial planning, investment management, and consulting services.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
AL
05/09/2023 - Present
LPL Financial LLC (BIRMINGHAM AL)
AL
06/04/2018 - 04/21/2023
PRIVATE CLIENT SERVICES, LLC (Birmingham AL)
AL
02/13/2015 - 06/08/2018
LPL FINANCIAL LLC (VESTAVIA HILLS AL)
AL
10/05/2009 - 02/20/2015
AMERIPRISE FINANCIAL SERVICES, INC. (BIRMINGHAM AL)
AL
02/16/2007 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (BIRMINGHAM AL)
AL
07/01/2003 - 02/21/2007
WACHOVIA SECURITIES, LLC (BIRMINGHAM AL)
NY
07/20/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
05/06/1992 - 08/02/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 07/06/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 05/04/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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