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 Dial is a financial advisor with over 22 years of experience in the industry. James is currently registered with Pruco Securities, LLC. James has a strong background in financial planning and investment management. James holds Series 6, 7, 63, and 65 licenses. James specializes in retirement planning, college savings, 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.
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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.
Compensation from lpl enterprise, llc
1
2
AZ
12/12/2000 - Present
Pruco Securities, LLC (Phoenix AZ)
IA
Issued 06/02/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2001
Series 7 - General Securities Representative Examination
BC
Issued 12/11/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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