Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lindsay is a financial advisor with over 11 years of experience in the industry. James is registered with Osaic Wealth, Inc. and has been active in the brokerage and investment advisory business for over 11 years. James holds several securities licenses including Series 6, 7, 24, 63, and 65. James' previous employment includes positions with SAGEPOINT FINANCIAL, INC. and PARK AVENUE SECURITIES LLC. James is a licensed insurance agent and offers services related to health, accident, life, and P&C insurance.
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.
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.
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2
CA
09/01/2023 - Present
Osaic Wealth, Inc. (CARLSBAD CA)
CA
07/10/2013 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (CARLSBAD CA)
CA
12/23/2011 - 07/01/2013
PARK AVENUE SECURITIES LLC (CARLSBAD CA)
IA
Issued 08/30/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2013
Series 7 - General Securities Representative Examination
BC
Issued 12/22/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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