Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Fago is a financial professional with over 30 years of experience in the industry. James currently works at TIAA-CREF Individual & Institutional Services, LLC and is registered with the state of North Carolina and South Carolina. Previously, James has worked at a variety of firms including MML Investors Services, LLC, MSI Financial Services, Inc., MetLife Investors Distribution Company, New England Securities, Tower Square Securities, Inc., Walnut Street Securities, Inc. and Metropolitan Life Insurance Company. James has a strong track record of success in providing financial guidance and solutions to clients. He holds the Series 6, 7, 10, 9, 24, and 63 licenses as well as the SIE certification.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
NC
06/19/2019 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)
NC
03/25/2017 - 06/04/2019
MML INVESTORS SERVICES, LLC (CHARLOTTE NC)
NC
10/13/1986 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
08/12/2011 - 07/05/2016
METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)
NC
02/16/2007 - 01/02/2015
NEW ENGLAND SECURITIES (CHARLOTTE NC)
CA
06/14/2011 - 09/05/2013
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
CA
06/14/2011 - 09/05/2013
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NY
10/13/1986 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BC
Issued 04/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2001
Series 24 - General Securities Principal Examination
BC
Issued 04/04/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/08/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/1999
Series 7 - General Securities Representative Examination
BC
Issued 10/09/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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