Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lao Tadeo is a financial advisor with over 20 years of experience in the industry. Currently, James is registered with Anico Financial Services, Inc. James has a strong background in financial services, with previous experience at firms such as PRUCO Securities, LLC., Hartford Equity Sales Company Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James holds FINRA Series 6, 7, and 66 licenses, along with a SIE. James is licensed to provide securities and advisory services in California.
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.
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.
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TX
01/21/2014 - Present
Anico Financial Services, Inc. (GALVESTON TX)
CA
01/03/2013 - 05/08/2013
PRUCO SECURITIES, LLC. (WALNUT CREEK CA)
CA
12/03/2012 - 01/03/2013
HARTFORD EQUITY SALES COMPANY INC. (WALNUT CREEK CA)
TX
03/23/2011 - 08/14/2012
AMERICAN GENERAL EQUITY SERVICES CORPORATION (HOUSTON TX)
NY
10/23/2009 - 11/13/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
01/03/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
10/10/2003 - 12/15/2006
CITICORP INVESTMENT SERVICES (PLEASANT HILL CA)
CA
01/31/1997 - 10/02/2002
CAL FED INVESTMENTS (SACRAMENTO CA)
WI
04/27/1994 - 01/31/1997
INVEST FINANCIAL CORPORATION (APPLETON WI)
BOTH
Issued 05/29/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/26/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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