Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Howard Froman is a financial advisor registered with LPL Financial LLC. James has been in the financial industry since July 1994. He is currently registered with the state of California and has held previous registrations in several other states. James is a licensed agent and investment advisor representative. James has specialized experience in several areas including financial planning, pension consulting, and portfolio management for individuals and businesses. 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.
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CA
10/18/2007 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
01/13/2006 - 09/14/2007
XCU CAPITAL CORPORATION, INC. (LA JOLLA CA)
NY
06/15/2005 - 10/07/2005
NEW ENGLAND SECURITIES (NEW YORK NY)
NY
04/07/2003 - 04/25/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
10/04/2002 - 04/17/2003
IFMG SECURITIES, INC. (PURCHASE NY)
CA
12/06/2001 - 09/27/2002
CAL FED INVESTMENTS (SACRAMENTO CA)
NY
10/06/1999 - 11/16/2001
BNY INVESTMENT CENTER INC. (NEW YORK NY)
CA
01/04/1995 - 10/21/1999
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
04/12/1994 - 11/10/1994
USLIFE EQUITY SALES CORP. (NEW YORK NY)
NY
07/08/1993 - 12/10/1993
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 04/30/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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