Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Matthew Ferris is a financial advisor with over 35 years of experience in the industry. Currently, James is registered with LPL Financial LLC in Bristol, CT. James has previously worked with Securities America, Inc., Investcorp, Inc., Liberty Securities Corporation, Investment Bankers and Brokers, Inc., and American Express Financial Advisors Inc. James has a wide range of licenses and certifications including Series 6, 7, 24, 63, and 65, as well as the SIE exam.
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.
1
2
CT
02/01/2023 - Present
LPL Financial LLC (BRISTOL CT)
CT
07/17/2020 - 02/02/2023
SECURITIES AMERICA, INC. (BRISTOL CT)
CT
09/25/1997 - 07/17/2020
INVESTACORP, INC. (BRISTOL CT)
NY
11/04/1987 - 09/30/1997
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
08/04/1987 - 01/01/1988
INVESTMENT BANKERS AND BROKERS, INC.
NA
10/07/1986 - 08/19/1987
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
BC
Issued 10/26/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/15/1988
Series 24 - General Securities Principal Examination
BC
Issued 08/11/1987
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
BC
Issued 10/06/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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