Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lee Deforest is a financial professional with over 13 years of experience in the financial services industry. James is currently registered with MML Investors Services, LLC, and is located in Springfield, Massachusetts. James has held prior positions with several other financial institutions, including Equity Services, Inc., Pruco Securities, LLC., Park Avenue Securities LLC, and New England Securities. James's career has been focused on providing investment advice to individuals, businesses, and various organizations, including pension and profit-sharing plans. James holds the Series 7, Series 6, Series 24, and Series 63 licenses, and is dedicated to providing comprehensive financial planning services and assisting clients with their investment goals.
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 programs
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.
Solicitors fees
1
2
MA
11/09/2018 - Present
MML Investors Services, LLC (SPRINGFIELD MA)
MA
02/21/2014 - 06/12/2014
MML INVESTORS SERVICES, LLC (HOLYOKE MA)
MA
08/05/2013 - 11/18/2013
EQUITY SERVICES, INC. (SPRINGFIELD MA)
MA
01/22/2010 - 04/19/2013
PRUCO SECURITIES, LLC. (WILBRAHAM MA)
NY
02/23/2005 - 11/30/2005
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NY
07/19/2004 - 11/18/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
BC
Issued 02/05/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/2019
Series 24 - General Securities Principal Examination
BC
Issued 11/09/2018
Series 7TO - General Securities Representative Examination
BC
Issued 10/23/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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