Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sadek is a financial advisor currently registered with LPL Financial LLC. He is a registered representative and investment advisor representative in Texas and Washington. James has been in the financial services industry since 2008 and has worked for several firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, SWBC Investment Services, LLC, and Ameriprise Financial Services, Inc. James holds Series 66, Series 7, and SIE licenses. He is also a member of the Upstream Investment Partners, which is a DBA for his LPL business.
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
TX
05/15/2023 - Present
LPL Financial LLC (AUSTIN TX)
TX
04/21/2017 - 05/15/2023
SIGMA FINANCIAL CORPORATION (AUSTIN TX)
TX
03/06/2014 - 12/31/2015
SIGMA FINANCIAL CORPORATION (AUSTIN TX)
TX
11/22/2011 - 03/21/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAKEWAY TX)
TX
06/21/2010 - 11/03/2011
SWBC INVESTMENT SERVICES, LLC (COLLEGE STATION TX)
TX
10/05/2009 - 10/21/2009
AMERIPRISE FINANCIAL SERVICES, INC. (AUSTIN TX)
TX
05/05/2006 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (AUSTIN TX)
BOTH
Issued 09/08/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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