Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Broadway is a financial advisor with over 9 years of experience in the financial industry. James holds a Series 7, Series 63, and Series 65 licenses, and has been registered as an Investment Advisor Representative with Raymond James Financial Services Advisors, Inc. in Georgia since April 2018. Prior to joining Raymond James, James was employed by Wells Fargo Clearing Services, LLC in Alpharetta, Georgia. James provides financial planning services, investment management, portfolio management for individuals and businesses, and pension consulting services.
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
01/22/2015 - 04/27/2018
WELLS FARGO CLEARING SERVICES, LLC (ALPHARETTA GA)
IA
Issued 07/30/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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