Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Harvey is a financial advisor with LPL Financial LLC in BOSTON, MA. James has been in the industry since 2014 and is registered with FINRA and the state of Massachusetts. James has successfully completed multiple FINRA licensing examinations including Series 6, 7, 63, and 65, as well as the SIE and Series 99TO. James holds licenses in multiple states and has previously worked at Brookwood Securities Partners, LLC, Fidelity Investments Institutional Services Company, Inc., and NGAM Distribution, L.P. LPL Financial LLC is a registered investment advisor that manages assets of more than $50 billion on behalf of over 168,915 clients. James's practice specializes in working with individuals, businesses, high-net-worth individuals, charitable organizations, corporations, pension and profit-sharing plans, and investment clubs.
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
MA
11/08/2023 - Present
LPL Financial LLC (BOSTON MA)
MA
04/05/2022 - 10/10/2023
BROOKWOOD SECURITIES PARTNERS, LLC (BEVERLY MA)
RI
01/30/2018 - 04/06/2018
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
MA
08/06/2014 - 06/21/2017
NGAM DISTRIBUTION, L.P. (BOSTON MA)
BC
Issued 05/23/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/17/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/2023
Series 99TO - Operations Professional Examination
BC
Issued 04/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 04/06/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2016
Series 7 - General Securities Representative Examination
BC
Issued 07/30/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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