Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Duke is a financial professional with over 30 years of experience in the industry. James is currently registered with LPL Financial LLC in Texas and Utah. Previously, James worked with MML INVESTORS SERVICES, LLC and MONY SECURITIES CORPORATION. James holds Series 6, 7, 63 and 66 licenses, along with the SIE exam. James has a strong background in providing financial planning, portfolio management, and consulting services to individuals, businesses, and institutions. James specializes in providing guidance to clients in areas such as retirement planning, investment management, and insurance.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
UT
11/01/2019 - Present
LPL Financial LLC (COTTONWOOD HEIGHTS UT)
UT
02/21/2003 - 11/01/2019
MML INVESTORS SERVICES, LLC (SALT LAKE CITY UT)
NY
04/06/1993 - 02/13/2003
MONY SECURITIES CORPORATION (NEW YORK NY)
BOTH
Issued 07/08/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/10/2002
Series 7 - General Securities Representative Examination
BC
Issued 03/29/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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