Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mccormick Bain is an active investment advisor representative and has been in the financial industry since 2000. James is registered with Herndon Plant Oakley, Ltd. and is licensed to offer investment advisory services in 24 states. James holds a Series 66, Series 7 and SIE license. The firm manages approximately 82,050,950 in regulatory assets under management. James has been with Herndon Plant Oakley, Ltd. since 2000.
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.
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.
A percentage of the total value of assets under management is charged.
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TX
11/19/2022 - Present
Herndon Plant Oakley, Ltd. (CORPUS CHRISTI TX)
BOTH
Issued 10/02/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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