Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Simone is a financial advisor registered with TIAA-CREF Individual & Institutional Services, LLC. James has been in the financial services industry since April 1995. James currently works out of the Wake Forest, NC office. James has passed the Series 6, 7, 24, 26, 51, 63 and 66 exams. James is also registered with the state of North Carolina.
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
05/24/2013 - Present
Tiaa-Cref Individual & Institutional Services, LLC (Wake Forest NC)
NC
09/30/1997 - 05/09/2013
VALIC FINANCIAL ADVISORS, INC. (DURHAM NC)
TX
04/05/1995 - 12/31/2001
THE VARIABLE ANNUITY MARKETING COMPANY (HOUSTON TX)
BOTH
Issued 03/24/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/06/2003
Series 24 - General Securities Principal Examination
BC
Issued 05/06/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/29/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2002
Series 7 - General Securities Representative Examination
BC
Issued 04/03/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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