Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Barclay is a financial advisor with over 27 years of experience in the financial services industry. James is currently registered with Advisors Asset Management, Inc., a firm headquartered in Monument, Colorado. James has a diverse background, having worked with firms like Compass Distributors, LLC, IMST Distributors, LLC, Neuberger Berman Management LLC, and Wayne Hummer Investments L.L.C. James holds the Series 63, Series 65, Series 7 and SIE licenses and specializes in investment companies, corporations or other businesses and individuals. James also offers portfolio management services for individuals, businesses and investment companies.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Supervisor/evaluator to unit investment trusts
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.
A percentage of the total value of assets under management is charged.
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2
TX
09/11/2023 - Present
Advisors Asset Management, Inc. (BOERNE TX)
IL
12/12/2018 - 09/20/2022
COMPASS DISTRIBUTORS, LLC (Chicago IL)
IL
07/20/2015 - 12/31/2018
IMST DISTRIBUTORS, LLC (Chicago IL)
IL
11/07/2000 - 07/02/2015
NEUBERGER BERMAN MANAGEMENT LLC (CHICAGO IL)
IL
10/04/1999 - 07/02/2015
NEUBERGER BERMAN LLC (CHICAGO IL)
IL
09/15/1998 - 09/27/1999
CALAMOS FINANCIAL SERVICES, INC. (NAPERVILLE IL)
TX
02/25/1997 - 08/27/1998
VAN KAMPEN FUNDS INC. (HOUSTON TX)
IL
01/20/1996 - 02/18/1997
FOCUSED INVESTMENTS L.L.C. (CHICAGO IL)
IL
06/05/1995 - 02/11/1997
WAYNE HUMMER INVESTMENTS L.L.C. (CHICAGO IL)
IA
Issued 06/14/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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