Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Masashi Aoki is a financial advisor with over 20 years of experience in the industry. James is currently registered with LPL Financial LLC and is licensed to provide investment advice in 14 states. James has previously worked with Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., Wachovia Securities, LLC, and Prudential Securities Incorporated. James holds Series 7, 31, and 63 securities licenses, as well as a Series 65 investment advisor license. James specializes in financial planning, portfolio management, and pension consulting. James also provides educational seminars to 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.
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
UT
03/03/2020 - Present
LPL Financial LLC (OGDEN UT)
UT
10/05/2009 - 10/14/2015
AMERIPRISE FINANCIAL SERVICES, INC. (MIDVALE UT)
UT
05/27/2005 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (MIDVALE UT)
MO
07/01/2003 - 05/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
03/09/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/04/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 01/15/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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