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 Mlott has over 35 years of experience in the financial services industry. James is currently registered as an Investment Advisor Representative (IAR) with Thurston Springer Advisors. James has held previous roles with several firms including WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC., DEAN WITTER REYNOLDS INC., and E. F. HUTTON & COMPANY INC. James Michael Mlott holds the Series 63, Series 31, Series 7 and SIE securities licenses. James is a graduate of Purdue University.
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.
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.
1
2
IN
08/25/2020 - Present
Thurston Springer Advisors (INDIANAPOLIS IN)
IN
01/01/2008 - 06/15/2009
WELLS FARGO ADVISORS, LLC (INDIANAPOLIS IN)
IN
02/26/1990 - 01/03/2008
A. G. EDWARDS & SONS, INC. (INDIANAPOLIS IN)
NY
08/05/1987 - 03/06/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
11/21/1984 - 06/12/1987
E. F. HUTTON & COMPANY INC
BC
Issued 12/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Mlott is the right advisor for you? Invested Better is here to help.
