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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 Clark is a financial advisor with Principal Securities, Inc. James Clark has been in the industry since December 6, 1987, and has extensive experience in providing financial planning and investment advice. James Clark is registered in 17 states and offers advisory services, financial planning, and educational seminars. James Clark also provides pension consulting and selection of other advisors. James Clark is a Series 6, 7, 24, 26, 51, 63, and 65 licensed representative and holds the SIE designation.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
SD
08/13/2001 - Present
Principal Securities, Inc. (SIOUX FALLS SD)
NJ
12/07/1987 - 08/10/1995
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 11/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/30/2007
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 11/10/1999
Series 24 - General Securities Principal Examination
BC
Issued 06/25/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1999
Series 7 - General Securities Representative Examination
BC
Issued 12/04/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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