Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Harding is a financial advisor with over 28 years of experience in the financial services industry. James currently works for Hilltop Securities Inc. and is registered to provide investment advice in multiple states including California, Florida, Georgia, Illinois, Massachusetts, Nevada, South Carolina, Texas, and Washington. James is a licensed Investment Advisor Representative in the State of California. James also holds Series 3, 6, 7, and 63 licenses. James has experience working for both Morgan Stanley and Wachovia Securities.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
12b-1 fees
1
2
CA
06/21/2023 - Present
Hilltop Securities Inc. (Roseville CA)
CA
06/01/2009 - 08/16/2016
MORGAN STANLEY (ROSEVILLE CA)
CA
07/25/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROSEVILLE CA)
CA
09/25/2000 - 07/30/2008
WACHOVIA SECURITIES, LLC (SACRAMENTO CA)
NY
07/27/1994 - 09/26/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
03/14/1994 - 04/19/1994
ATLAS SECURITIES, INC. (SAN LEANDRO CA)
IA
Issued 09/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/1994
Series 7 - General Securities Representative Examination
BC
Issued 02/11/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/24/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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