Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Garner is a financial advisor with Raymond James & Associates, Inc. with a strong history in the industry, beginning in 1987. James has held a number of positions at various firms over the years, including PaineWebber Incorporated, Barnett Brokerage Service, Inc., and UBS Financial Services Inc. James has a solid background of education, with a focus on financial services and is committed to providing clients with personalized financial advice. James holds several professional licenses including Series 7, Series 3, and Series 63, and is registered with the state of Arkansas and Texas.
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.
Please see note in schedule d - miscellaneous
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.
1
2
AR
03/28/2017 - Present
Raymond James & Associates, Inc. (LITTLE ROCK AR)
AR
09/06/2006 - 05/06/2015
UBS FINANCIAL SERVICES INC. (LITTLE ROCK AR)
AR
08/27/1993 - 09/07/2006
STEPHENS INC. (LITTLE ROCK AR)
NJ
05/04/1990 - 08/20/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
FL
02/01/1990 - 05/14/1990
BARNETT BROKERAGE SERVICE, INC. (JACKSONVILLE FL)
NJ
11/17/1988 - 01/01/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
07/02/1987 - 11/29/1988
SHEARSON LEHMAN HUTTON INC.
IA
Issued 07/15/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1987
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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