Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Thompson is a financial advisor with MWA Financial Services Inc. James has been in the financial services industry since November 1989. James is registered with the state of Massachusetts as well as Connecticut, New York, and North Carolina. James has completed the Series 63, Series 6, and SIE exams and is a registered representative. MWA Financial Services Inc. provides a wide range of financial services to individuals and corporations, including financial planning, portfolio management, and selection of other advisors.
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.
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.
A percentage of the total value of assets under management is charged.
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2
MA
03/02/2004 - Present
MWA Financial Services Inc. (Webster MA)
TX
06/11/2002 - 12/04/2003
AFS BROKERAGE, INC. (AUSTIN TX)
CO
06/10/2002 - 06/13/2002
INTERVEST INTERNATIONAL EQUITIES CORPORATION (COLORADO SPRINGS CO)
IN
02/16/2000 - 06/10/2002
CONSECO SECURITIES, INC. (CARMEL IN)
IN
09/24/1998 - 12/31/1999
CONSECO SECURITIES, INC. (CARMEL IN)
CT
02/27/1995 - 09/26/1996
MERIT CAPITAL ASSOCIATES, INC. (WESTPORT CT)
MA
12/18/1987 - 12/12/1994
BOSTON MUTUAL SALES CORP. (CANTON MA)
NA
01/30/1987 - 09/09/1987
FIRST INVESTORS CORPORATION
BC
Issued 01/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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