Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Towne is a financial advisor with over 25 years of experience in the industry. James is currently registered with Hilltop Securities Inc. and Hilltop Securities Asset Management, LLC. James provides investment advice to individuals, corporations, and pension and profit-sharing plans. James holds the Series 7, 52, 50, 53, 24, 79, 30, 63, 65, and 66 licenses and is a registered representative of Hilltop Securities Inc. James also holds the Series 54 license and is a municipal advisor representative of Hilltop Securities Inc. James is an active member of the financial industry and is committed to providing his clients with the highest quality service.
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.
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.
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.
12b-1 fees
1
2
CA
05/23/2024 - Present
Hilltop Securities Inc. (Solana Beach CA)
CA
07/02/2021 - 02/16/2023
CALDWELL SUTTER CAPITAL, INC. (SAUSALITO CA)
MN
05/05/2015 - 03/24/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (MINNEAPOLIS MN)
MN
01/24/2014 - 05/04/2015
STERNE, AGEE & LEACH, INC. (MINNEAPOLIS MN)
MN
03/09/2012 - 01/14/2014
OPPENHEIMER & CO. INC. (MINNEAPOLIS MN)
MN
09/18/1996 - 01/04/2008
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NA
04/03/1990 - 09/14/1996
DAIN BOSWORTH INCORPORATED
IA
Issued 10/09/2023
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/31/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/18/2021
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/10/2019
Series 54 - Municipal Advisor Principal Qualification Examination
BC
Issued 05/06/2016
Series 30 - NFA Branch Manager Examination
BC
Issued 04/04/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/15/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 02/04/2014
Series 52 - Municipal Securities Representative Examination
BC
Issued 02/25/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 03/08/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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