Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Haupt has been a registered financial professional since 1986, with over 35 years of experience in the industry. James currently works with LPL Financial LLC in their San Diego office. James has experience working with a variety of clients, including individuals, families, businesses, and institutions. James specializes in developing customized financial plans that address a variety of needs. James is committed to providing his clients with the highest level of service and support.
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.
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2
CA
06/02/2014 - Present
LPL Financial LLC (SAN DIEGO CA)
LA
05/26/2010 - 01/30/2012
PRUCO SECURITIES, LLC. (METAIRIE LA)
LA
02/04/2009 - 05/17/2010
CADARET, GRANT & CO., INC. (MANDEVILLE LA)
LA
03/17/2004 - 07/15/2008
BANCORPSOUTH INVESTMENT SERVICES, INC. (BATON ROUGE LA)
NJ
08/14/2000 - 04/02/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
02/20/1997 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
GA
08/28/1995 - 02/06/1997
FSC SECURITIES CORPORATION (ATLANTA GA)
IN
06/20/1994 - 08/25/1995
AMERICAN UNITED LIFE INSURANCE COMPANY (INDIANAPOLIS IN)
TX
07/20/1990 - 08/11/1995
FIRST FINANCIAL SECURITIES OF AMERICA, INC. (HOUSTON TX)
CA
07/13/1989 - 07/11/1990
TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)
CA
07/13/1989 - 07/11/1990
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
MD
10/24/1988 - 12/05/1988
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
LA
03/28/1985 - 10/27/1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC. (NEW ORLEANS LA)
IA
Issued 11/02/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/1994
Series 7 - General Securities Representative Examination
BC
Issued 03/26/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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