Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leo Defano is an investment advisor representative associated with LPL Enterprise, LLC. James has been in the financial industry since November 18, 2015. James holds Series 6, 7, 63, 65, and 66 securities licenses. James has been registered as an investment advisor representative with LPL Enterprise, LLC since November 14, 2024. James has been registered in Illinois, New York, and Wisconsin. James is also a Medicare Sales Broker for American Republic Insurance Services and a coach for Official Finders.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
1
2
IL
11/14/2024 - Present
LPL Enterprise, LLC (DOWNERS GROVE IL)
IL
09/14/2015 - 06/08/2016
PNC INVESTMENTS (LOCKPORT IL)
IL
11/20/2012 - 08/12/2015
J.P. MORGAN SECURITIES LLC (NEW LENOX IL)
BOTH
Issued 03/14/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/14/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/28/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/08/2016
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Defano is the right advisor for you? Invested Better is here to help.
