Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames O'Leary is a financial advisor with over 37 years of experience in the financial services industry. James is a registered representative and investment advisor representative of LPL Financial LLC in Englewood, Colorado. James specializes in providing financial planning, portfolio management, and consulting services to a wide range of clients. James has a strong track record of success and is committed to helping clients achieve their financial goals.
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
CO
07/22/2020 - Present
LPL Financial LLC (ENGLEWOOD CO)
CO
02/08/1983 - 10/01/2010
PRUCO SECURITIES, LLC. (GREENWOOD VILLAGE CO)
IA
Issued 01/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/28/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/1998
Series 7 - General Securities Representative Examination
BC
Issued 11/05/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 02/07/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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