Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Field is a financial advisor with over 30 years of experience. James is currently registered with LPL Financial LLC and has been with the firm since 2003. James also has previous experience with Legg Mason Wood Walker, Incorporated, Smith Barney Inc., Lehman Brothers Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is licensed in multiple states including Alabama, Arkansas, California, Colorado, Florida, Louisiana, Nevada, and Texas. James is a Series 7, 9, 10, 63, and SIE licensed representative. James specializes in providing financial planning, portfolio management, and consulting services to individuals, families, businesses, and charitable organizations.
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
LA
06/28/2018 - Present
LPL Financial LLC (BATON ROUGE LA)
MD
06/26/1995 - 03/19/2003
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
07/31/1993 - 07/10/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
12/12/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/21/1986 - 01/02/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 10/17/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/30/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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