Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lewis has been in the financial services industry since 1988 and currently works as a financial advisor at LPL Financial LLC. James has worked for multiple firms throughout his career, including Waddell & Reed, Wells Fargo Advisors, and Wells Fargo Investments. James is registered to offer investment advice in 20 states and is licensed to sell securities in 21 states. James offers a variety of services to clients, including financial planning, portfolio management, and investment advice.
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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NV
07/21/2021 - Present
LPL Financial LLC (RENO NV)
NV
10/14/2011 - 07/21/2021
WADDELL & REED (RENO NV)
NV
02/22/2008 - 10/19/2011
WELLS FARGO ADVISORS, LLC (RENO NV)
NV
12/13/2000 - 02/27/2008
WELLS FARGO INVESTMENTS, LLC (RENO NV)
MN
01/12/2001 - 08/20/2002
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
CA
02/16/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
05/15/2000 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
TX
02/23/1998 - 02/23/2000
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
NE
10/07/1994 - 02/19/1998
LAUGHLIN GROUP ADVISORS, INC. (LINCOLN NE)
NJ
08/10/1988 - 10/11/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
08/10/1988 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 03/16/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1994
Series 7 - General Securities Representative Examination
BC
Issued 08/08/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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