Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Shoemaker is a financial advisor who has been active in the industry since 1983. He is currently registered with Ameriprise Financial Services, LLC and has previously held registrations with several other firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, and Smith Barney, Harris Upham & Co., Incorporated. James is licensed in multiple states and holds several industry certifications, including the Series 3, 7, 9, 10, 15, 63, 65, and SIE exams. James is dedicated to helping individuals and families achieve their financial goals. He provides a range of services, including financial planning, asset allocation, and portfolio management.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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2
NC
02/14/2013 - Present
Ameriprise Financial Services, LLC (Charlotte NC)
NC
08/06/2001 - 07/14/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NY
01/03/1992 - 08/08/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NC
08/06/1990 - 01/08/1992
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
NY
03/20/1989 - 08/13/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
MA
11/14/1988 - 03/29/1989
NCNB SECURITIES, INC. (BOSTON MA)
NA
05/29/1986 - 11/16/1988
FIRST TRYON SECURITIES, INC.
NA
02/25/1985 - 06/09/1986
THE ROBINSON-HUMPHREY COMPANY INC.
NA
03/01/1983 - 02/25/1985
E. F. HUTTON & COMPANY INC
IA
Issued 11/05/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/20/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 05/01/1985
Series 3 - National Commodity Futures Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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