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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 Harold Yocom is an investment advisor representative with Osaic Institutions, Inc. James has over 28 years of experience in the financial services industry and holds Series 6, 7, 63, 65, and SIE licenses. James specializes in providing financial planning, portfolio management, and selection of other advisors. James has a strong focus on providing clients with a personalized and comprehensive approach to wealth management. Osaic Institutions, Inc. is a registered investment advisor that provides a range of financial services, including investment advisory services, financial planning, and retirement planning. The firm serves a diverse clientele, including individuals, families, businesses, and institutions.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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
10/09/2023 - Present
Osaic Institutions, Inc. (MERIDEN CT)
CA
07/05/2023 - 10/19/2023
LPL FINANCIAL LLC (SANTA ANA CA)
CA
10/21/2016 - 06/30/2023
CUSO FINANCIAL SERVICES, L.P. (Santa Ana CA)
CA
08/28/2013 - 10/05/2016
UNIONBANC INVESTMENT SERVICES, LLC (BELLFLOWER CA)
PA
02/16/2012 - 08/27/2013
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
CA
11/10/2009 - 11/08/2010
LEGG MASON INVESTOR SERVICES, LLC (SAN MATEO CA)
MA
04/13/2005 - 05/14/2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
OH
03/01/2001 - 03/09/2005
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
ME
08/14/1997 - 02/26/2001
BISYS FUND SERVICES LIMITED PARTNERSHIP (PORTLAND ME)
PA
01/19/1993 - 04/25/1997
DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)
IA
Issued 10/04/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/15/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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