Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Neal is a financial advisor in Asheville, NC who has been in the industry since 2019. James is registered with Credit Union Investment Services and is licensed to provide investment advice in North Carolina. James has passed the Series 63, Series 65, Series 6TO and SIE exams. James specializes in financial planning, portfolio management for individuals and educational seminars.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
02/20/2020 - Present
Credit Union Investment Services (Asheville NC)
IA
Issued 02/20/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/17/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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