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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Ian is a financial advisor who has been in the industry since 1998. James Ian is currently registered with MML Investors Services, LLC in Connecticut and Texas. James Ian has been registered with MML Investors Services, LLC since 2017. Previously, James Ian worked at MSI Financial Services, Inc., Metropolitan Life Insurance Company, American Skanda Marketing, Inc., Pruco Securities Corporation, Prudential Investment Management Services LLC, Prudential Securities Incorporated and American Express Financial Advisors Inc. James Ian holds Series 7, 9, 63 and 65 securities licenses. James Ian specializes in asset allocation programs, financial planning, pension consulting, and educational seminars. James Ian works with a variety of clients, including individuals, businesses, trusts, foundations, endowments, insurance companies, charitable organizations, pension and profit-sharing plans, and banking or thrift institutions.
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.
Asset allocation programs
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.
Solicitors fees
1
2
CT
01/04/2018 - Present
MML Investors Services, LLC (GUILFORD CT)
CT
03/09/2004 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (GUILFORD CT)
CT
03/09/2004 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (GUILFORD CT)
CT
06/13/2003 - 03/22/2004
AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)
NJ
12/13/2002 - 06/13/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
05/18/2001 - 12/13/2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
02/02/2001 - 05/14/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
02/24/2000 - 03/05/2001
PRUCO SECURITIES CORPORATION (NEWARK NJ)
MN
04/24/1998 - 01/14/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/24/1998 - 01/14/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 05/27/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/02/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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