Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leon Smoogen is an active registered representative with Planmember Securities Corp. He has been in the securities industry since July 16, 2002. James has a Series 6, Series 63, and SIE license. James is registered in 12 states and has been with Planmember Securities Corp. since June 2005. James is also a licensed insurance agent in California. James is also an instructor for financial literacy education. James is an active member of the industry and is committed to providing quality service to his clients.
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.
Provides investment supervisory 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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CA
08/02/2005 - Present
Planmember Securities Corp. (SAN DIEGO CA)
NY
12/16/1994 - 12/31/1997
NEW ENGLAND SECURITIES (NEW YORK NY)
BC
Issued 08/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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