Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leroy Drummond is a financial professional with over 25 years of experience in the financial services industry. James is currently registered with SPC and has been with the firm since July 2016. Prior to his current role, James was employed by Associated Financial Services, Inc., and Pruco Securities Corporation. James holds multiple professional designations, including the Chartered Financial Consultant designation. James specializes in providing financial planning, portfolio management, and consultation services to individuals, corporations, and charitable organizations. James is also a registered representative with Series 6, 63, and 65 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.
Consultation 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.
Seminar attendance fees
1
2
ND
07/02/2016 - Present
SPC (Fargo ND)
ND
02/22/2002 - 04/26/2005
ASSOCIATED FINANCIAL SERVICES, INC. (FARGO ND)
NJ
07/09/1996 - 01/24/2002
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 06/24/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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