Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Morgan Ziel is a registered representative and investment advisor representative with MML Investors Services, LLC. James has been in the securities industry since March 17, 2004, and holds licenses for both broker-dealer and investment advisor services. He has been associated with MML Investors Services, LLC, since October 2014. Before that, James was a representative with LPL Financial LLC. James holds Series 4, 7, 24, 52TO, 53, 63, and 66 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.
Asset allocation programs
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.
Solicitors fees
1
2
NC
01/21/2022 - Present
MML Investors Services, LLC (CHARLOTTE NC)
CA
11/05/2009 - 10/15/2014
LPL FINANCIAL LLC (SAN DIEGO CA)
NC
01/07/2010 - 04/27/2012
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
05/15/2009 - 06/17/2009
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
NC
03/17/2008 - 03/16/2009
LPL FINANCIAL CORPORATION (CHARLOTTE NC)
NC
08/26/2003 - 03/11/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
BOTH
Issued 12/07/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/25/2005
Series 4 - Registered Options Principal Examination
BC
Issued 12/21/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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