Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames M Wallace is a financial professional based in Cary, North Carolina with over 17 years of experience in the financial services industry. James has a broad range of experience, having worked with various financial institutions, including Lincoln Financial Securities Corporation, Securities America, Inc., and AXA Advisors, LLC. James is currently registered with Cambridge Investment Research Advisors, Inc. and is also a Certified Financial Planner. James specializes in financial planning, portfolio management, and retirement planning, and offers personalized financial guidance to individuals, families, and businesses.
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.
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.
Solicitation fees from 3rd party money managers
1
2
NC
04/23/2024 - Present
Cambridge Investment Research Advisors, Inc. (Cary NC)
NC
11/29/2016 - 04/24/2024
LINCOLN FINANCIAL SECURITIES CORPORATION (CARY NC)
NC
08/08/2014 - 11/21/2016
SECURITIES AMERICA, INC. (RALEIGH NC)
NC
03/13/2014 - 08/14/2014
LINCOLN FINANCIAL SECURITIES CORPORATION (RALEIGH NC)
NC
02/21/2007 - 03/04/2014
AXA ADVISORS, LLC (RESEARCH TRIANGLE PARK NC)
BOTH
Issued 03/13/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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