Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Barker is a financial advisor at LPL Financial LLC. James has been in the financial industry since 1999 and is registered with FINRA and the state of Tennessee. James is a registered representative and investment advisor representative and is licensed to provide investment advice in 14 states. James's firm, LPL Financial LLC, is a Fortune 500 company with over $50 billion in assets under management. LPL Financial provides investment products and services to individuals, businesses and institutions. James is committed to providing his clients with personalized financial advice and guidance.
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.
1
2
TN
03/26/2004 - Present
LPL Financial LLC (JACKSON TN)
CO
10/19/1998 - 09/27/2001
GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)
IA
Issued 11/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/15/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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