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 Patton is a financial advisor with over 38 years of experience in the industry. James is currently registered as a registered representative and investment advisor representative with Independent Financial Group, LLC. James has also been registered with LPL Financial LLC, H&R Block Financial Advisors, Inc., Wachovia Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney Inc. and Lehman Brothers Inc. James holds Series 6, 7, 63, 65, and SIE licenses, and is also a registered investment advisor in California and Louisiana. James specializes in financial planning, retirement planning, college savings, insurance, and estate planning.
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.
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.
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2
CA
11/01/2017 - Present
Independent Financial Group, LLC (Woodland Hills CA)
CA
08/19/2014 - 10/25/2017
NATIONAL PLANNING CORPORATION (Woodland Hills CA)
CA
07/03/2008 - 09/12/2014
LPL FINANCIAL LLC (WOODLAND HILLS CA)
CA
03/21/2005 - 07/09/2008
H&R BLOCK FINANCIAL ADVISORS, INC. (WOODLAND HILLS CA)
MO
06/30/1999 - 03/21/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
11/05/1996 - 06/29/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 10/30/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
06/21/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/20/1984 - 07/17/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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