Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lugo is a financial advisor with Equitable Distributors, LLC. James has been in the financial services industry since June 13, 2007. James holds Series 6, 63, and SIE licenses and is registered to provide investment advice in California, Montana, New Mexico, Texas, and Washington.
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.
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.
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NC
04/05/2024 - Present
Equitable Distributors, LLC (Charlotte NC)
CA
01/30/2023 - 12/15/2023
IMA WEALTH (Pasadena CA)
OH
05/08/2014 - 12/07/2022
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
OH
05/11/2010 - 04/04/2014
OHIO NATIONAL EQUITIES, INC. (CINCINNATI OH)
CA
11/19/2007 - 05/13/2010
DIVERSIFIED INVESTORS SECURITIES CORP. (LOS ANGELES CA)
CA
06/27/2006 - 03/20/2007
METLIFE INVESTORS DISTRIBUTION COMPANY (IRVINE CA)
IA
Issued 02/02/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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