Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Maxwell is a financial advisor with over 27 years of experience in the industry. James is a registered representative of Cambridge Investment Research Advisors, Inc. James is also an independent insurance agent and the president of Maxwell Financial. James has a wide range of experience in financial planning, investment management, and insurance. James has been a registered representative with Cambridge Investment Research Advisors, Inc. since 2020. James has held previous positions with Royal Alliance Associates, Inc. and United Securities Alliance, Inc.. James's specialties include retirement planning, college savings, and estate planning. James is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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
OH
03/04/2020 - Present
Cambridge Investment Research Advisors, Inc. (Waterville OH)
OH
03/01/2007 - 03/04/2020
ROYAL ALLIANCE ASSOCIATES, INC. (WATERVILLE OH)
OH
12/11/2000 - 03/01/2007
UNITED SECURITIES ALLIANCE, INC. (WATERVILLE OH)
GA
06/30/1994 - 12/08/2000
WMA SECURITIES, INC. (DULUTH GA)
BC
Issued 09/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2004
Series 7 - General Securities Representative Examination
BC
Issued 06/29/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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