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 Sullivan is a financial professional with over 20 years of experience in the financial services industry. James has a diverse background having worked at several firms including E*TRADE Securities LLC and HarrisDirect LLC. Currently, James is a registered representative with LPL Financial LLC and has been with them since 2010. James holds several licenses including Series 6, 7, 57TO, 99TO, and SIE. James is registered to provide investment advice in 53 states and the District of Columbia.
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
SC
02/09/2010 - Present
LPL Financial LLC (FORT MILL SC)
NC
01/03/2006 - 07/14/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
NJ
07/12/2000 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
CA
04/16/1999 - 06/10/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BC
Issued 05/03/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 09/29/2021
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/15/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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