Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Barnes is a financial advisor with LPL Financial LLC. James has been in the financial industry since 1971. James has a wide range of experience in the industry, having worked at several firms including First Allied Securities, Inc. and First Montauk Securities Corp. James is registered in nine states and holds several licenses including Series 7TO, Series 65, and Series 63. James is a valuable resource for individuals and businesses looking for financial advice.
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
IL
07/30/2018 - Present
LPL Financial LLC (BEACH PARK IL)
IL
12/09/2008 - 07/31/2018
FIRST ALLIED SECURITIES, INC. (WAUKEGAN IL)
IL
12/04/2003 - 12/09/2008
FIRST MONTAUK SECURITIES CORP. (WAUKEGAN IL)
MO
05/11/1998 - 11/18/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
TX
09/01/1994 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NA
05/08/1978 - 09/01/1994
HAMILTON INVESTMENTS, INC.
NA
01/23/1973 - 10/22/1980
CONOLLY & COMPANY
NA
11/24/1971 - 02/24/1973
HOWE, BARNES & JOHNSON, INC.
NA
04/27/1971 - 12/05/1971
CUTLER YANTIS & CO
IA
Issued 02/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/01/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/17/1978
Series 12 - NYSE Branch Manager Examination
BC
Issued 08/09/1977
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1978
PC - AMEX Put and Call Exam
BC
Issued 04/28/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
Not sure James Barnes is the right advisor for you? Invested Better is here to help.
