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 Santos is a financial professional with over 40 years of experience in the industry. James is registered with Commonwealth Financial Network, a well-established firm with a long history of serving individual and institutional clients. James provides financial planning, portfolio management, and other investment-related services to individuals, families, and businesses. In addition to being registered with Commonwealth Financial Network, James holds licenses in multiple states, including Illinois, Wisconsin, and others, allowing him to serve a broad range of clients across the country. James is also a Chartered Financial Consultant, demonstrating his commitment to professional development and adherence to a high standard of ethics.
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.
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
IL
09/08/2011 - Present
Commonwealth Financial Network (Deerfield IL)
MA
02/25/1985 - 11/08/2000
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NA
03/03/1986 - 01/06/1994
MML INVESTORS SERVICES, INC.
NA
08/24/1983 - 12/18/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 04/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/28/1986
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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