Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mitchell Broadway is an Investment Advisor Representative with Raymond James Financial Services Advisors, Inc. based in Roswell, GA. James has been in the industry since May 1984. Prior to joining Raymond James Financial Services Advisors, Inc., James was registered with WELLS FARGO CLEARING SERVICES, LLC in Alpharetta, GA. James is licensed to provide investment advisory services in Georgia and has a Series 63, Series 7, Series 3, Series 8, Series 9, Series 10, and SIE licenses.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
GA
09/24/2021 - Present
Raymond James Financial Services Advisors, Inc. (ROSWELL GA)
GA
01/01/2008 - 04/27/2018
WELLS FARGO CLEARING SERVICES, LLC (ALPHARETTA GA)
GA
05/30/1984 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ALPHARETTA GA)
BC
Issued 06/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/24/1996
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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