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 Schmertmann is a financial advisor with over 24 years of experience in the financial services industry. James is currently registered with LPL Financial LLC in Moline, IL. James has a wide range of experience, having previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated and New England Securities. James holds several licenses and certifications, including Series 6, 7, 24, 31, 63, 66, and SIE. James is also registered in 28 states. James provides a variety of financial services to individual and institutional clients, including financial planning, portfolio management, and retirement planning.
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.
1
2
IL
11/13/2008 - Present
LPL Financial LLC (MOLINE IL)
IA
02/10/2000 - 02/08/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DAVENPORT IA)
NA
11/15/1989 - 02/06/1991
NEW ENGLAND SECURITIES
BOTH
Issued 02/01/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/13/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/08/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 01/11/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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