Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Isamu King is an investment advisor representative with LPL Financial LLC. James has been in the financial industry for over 20 years. James has been registered with LPL Financial LLC since 2012. Before that, James worked for UNIONBANC INVESTMENT SERVICES, LLC, WELLS FARGO INVESTMENTS, LLC, and WM FINANCIAL SERVICES, INC. James has a Series 63, 66, and 7 licenses, as well as a SIE license. James is registered with the state of California.
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.
1
2
CA
02/21/2012 - Present
LPL Financial LLC (LAKEWOOD CA)
CA
11/08/2006 - 02/21/2012
UNIONBANC INVESTMENT SERVICES, LLC (FULLERTON CA)
CA
07/14/2004 - 11/08/2006
WELLS FARGO INVESTMENTS, LLC (NEWPORT BEACH CA)
CA
11/21/2002 - 07/29/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
BOTH
Issued 05/09/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James King is the right advisor for you? Invested Better is here to help.
