Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Graham is a financial advisor with over 30 years of experience in the industry. James is currently registered with LPL Financial LLC and has held previous positions at Raymond James & Associates, Inc., Wachovia Securities, LLC, Wachovia Securities, Inc., PaineWebber Incorporated, J.C. Bradford & Co., J. Milton Newton, Incorporated, and Transamerica Securities, Inc. James holds a variety of licenses and certifications, including Series 7, Series 52, Series 63 and SIE. James Graham is also registered with the state of Tennessee as an Investment Advisor Representative. James specializes in providing financial planning, portfolio management and other services for individual clients, corporations and charitable organizations.
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
08/30/2016 - Present
LPL Financial LLC (MEMPHIS TN)
TN
06/09/2006 - 05/05/2015
RAYMOND JAMES & ASSOCIATES, INC. (MEMPHIS TN)
TN
06/15/2002 - 06/12/2006
WACHOVIA SECURITIES, LLC (MEMPHIS TN)
NC
11/10/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NJ
08/14/2000 - 11/30/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
01/26/1984 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NA
12/20/1979 - 01/19/1984
J. MILTON NEWTON, INCORPORATED
NA
09/27/1978 - 04/19/1979
TRANSAMERICAN SECURITIES, INC.
BC
Issued 02/12/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
BC
Issued 01/26/1979
Series 52 - Municipal Securities Representative Examination
BC
Issued 09/22/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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