Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Owens is a financial advisor with Raymond James & Associates, Inc., and has been in the financial services industry since May 2, 1988. James has held registrations with several other firms including Morgan Keegan & Company, Inc., and Compass Brokerage, Inc. James Owens is currently registered with the state of Alabama as an Investment Advisor Representative. James holds FINRA Series 3, 7, 52, and 63 licenses. He also holds the SIE designation. James is based in Birmingham, AL.
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.
Please see note in schedule d - miscellaneous
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
09/28/2012 - Present
Raymond James & Associates, Inc. (BIRMINGHAM AL)
AL
08/12/1998 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (BIRMINGHAM AL)
AL
06/18/1998 - 08/11/1998
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
AL
06/11/1986 - 07/25/1996
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BC
Issued 04/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/1987
Series 3 - National Commodity Futures Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 06/09/1983
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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