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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bruce is a financial advisor with LPL Financial LLC, based in Scottsdale, Arizona. James has been in the financial industry since 1994. James has worked for several firms, including Kestra Investment Services, LLC and SII Investments, Inc., before joining LPL Financial LLC. James offers a variety of services to clients, including financial planning, portfolio management, and consulting. James is registered to offer investment advice in Arizona, California, Colorado, Florida, Indiana, Iowa, Montana, Nevada, North Carolina, Ohio, Texas, Utah, Virginia, Washington, and Wyoming. James also holds the Series 66, Series 65, Series 63, SIE and Series 7 licenses.
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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AZ
08/15/2023 - Present
LPL Financial LLC (SCOTTSDALE AZ)
AZ
07/22/2016 - 08/14/2023
KESTRA INVESTMENT SERVICES, LLC (Scottsdale AZ)
AZ
01/23/2009 - 07/21/2016
SII INVESTMENTS, INC. (CHANDLER AZ)
AZ
10/31/2005 - 01/27/2009
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
10/17/1996 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
CA
09/25/1996 - 10/04/1996
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
FL
07/18/1995 - 09/25/1996
JOSEPH CHARLES & ASSOC., INC. (BOCA RATON FL)
IA
07/19/1994 - 07/18/1995
DICKINSON & CO. (DES MOINES IA)
BOTH
Issued 05/29/2001
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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