Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lewy is a financial advisor with over 30 years of experience in the financial services industry. James has held various positions at several firms, including Smith Barney Inc., Lehman Brothers Inc., and Wells Fargo Advisors LLC. James is currently a registered representative of LPL Financial LLC, a registered investment advisor. James holds multiple FINRA registrations, including Series 7, Series 24, Series 31, and Series 63. James also holds a Series 65 license, which allows him to provide investment advisory services. James is a CERTIFIED FINANCIAL PLANNER™ professional.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NJ
09/16/2024 - Present
LPL Financial LLC (WHITEHOUSE STATION NJ)
NJ
10/12/2001 - 11/08/2019
WELLS FARGO CLEARING SERVICES, LLC (FLEMINGTON NJ)
NY
12/13/1995 - 10/18/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 12/21/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
07/12/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/12/1987 - 06/02/1988
GLICKENHAUS & CO. - NEW JERSEY
NA
04/29/1987 - 09/11/1987
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
IA
Issued 04/07/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/15/2020
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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