Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Houston is a financial professional with over 20 years of experience in the financial services industry. James is currently registered with Concourse Financial Group Securities, Inc. and is located in Fort Payne, Alabama. James has worked in the financial services industry since June 24, 1999 and has held a variety of roles including a financial advisor with Northwestern Mutual Investment Services, LLC and CUNA Brokerage Services, Inc. James has a variety of experience in working with individuals and businesses, and holds a Chartered Financial Consultant designation. James provides consulting and financial product sales and service to clients. In addition to their financial services experience, James also has experience in human resources consulting and as a Notary Public. James offers financial planning, portfolio management for businesses and individuals, selection of other advisors, and educational seminars.
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.
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.
1
2
AL
11/02/2012 - Present
Concourse Financial Group Securities, Inc. (Fort Payne AL)
AL
07/09/2009 - 07/18/2012
CUNA BROKERAGE SERVICES, INC. (GADSDEN AL)
AL
10/22/2008 - 04/29/2009
PROEQUITIES, INC. (GADSDEN AL)
AL
11/08/2004 - 04/02/2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (FORT PAYNE AL)
AL
07/23/2003 - 06/17/2004
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
MA
04/28/1997 - 07/23/2003
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
04/28/1997 - 07/23/2003
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 07/21/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/25/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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