Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ponder is a financial advisor with LPL Financial LLC. James has been in the industry since 1999. James has licenses in Arkansas, California, Louisiana, Mississippi, and Texas. James also holds the Series 6, 7, and 63 licenses. James specializes in providing financial planning, portfolio management, and pension consulting services to individuals, corporations, and charitable organizations. James can also help with consulting and other non-discretionary advisory services.
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
CA
12/06/2022 - Present
LPL Financial LLC (SAN DIEGO CA)
LA
10/03/2016 - 11/30/2022
INFINEX INVESTMENTS, INC. (SHREVEPORT LA)
LA
12/18/2009 - 10/03/2016
AMERIPRISE FINANCIAL SERVICES, INC. (SHREVEPORT LA)
LA
08/02/2004 - 12/22/2009
MORGAN KEEGAN & COMPANY, INC. (MINDEN LA)
LA
03/19/2002 - 07/29/2004
HIBERNIA INVESTMENTS, L.L.C. (NEW ORLEANS LA)
CT
12/08/2000 - 03/18/2002
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
MA
01/31/2000 - 05/01/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
01/31/2000 - 05/01/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
09/02/1994 - 12/31/1995
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 05/13/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/06/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/2003
Series 7 - General Securities Representative Examination
BC
Issued 01/28/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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