Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mark Lavan is an investment advisor representative with Clearbridge Investments, LLC. James has been in the securities industry since June 17, 2001. James has a series 7, Series 24, Series 63, Series 65, and Series 99TO license. James is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). James also serves on the board of directors for the National Investment Company Service Association (NICSA) in McLean, Virginia.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
06/12/2021 - Present
Clearbridge Investments, LLC (NEW YORK NY)
NJ
01/02/2024 - 07/03/2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (Short Hills NJ)
NY
08/01/2020 - 07/07/2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. (New York NY)
NY
08/01/2020 - 07/07/2021
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (New York NY)
NY
05/18/2007 - 07/06/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
03/01/2002 - 04/13/2007
LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)
NE
05/09/2001 - 02/25/2002
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 01/07/2013
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/13/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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