Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Elliott is a financial advisor who has been in the industry since 1992. James currently works for Janney Montgomery Scott LLC in Mystic, CT. James also has a background in working at other firms such as Commonwealth Financial Network, CCO Investment Services Corp. and Quick & Reilly, Inc. James holds Series 7, 63 and 65 licenses and is registered to provide investment advice in several states, including Connecticut, Rhode Island, and Texas. James's primary goal is to help clients develop a financial plan that meets their individual needs. James works with a variety of clients, including individuals, families, and businesses. James also provides financial planning services, including retirement planning, college savings, and estate planning.
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.
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.
Fee plus commission
1
2
CT
11/20/2024 - Present
Janney Montgomery Scott LLC (Mystic CT)
RI
08/01/2012 - 10/13/2016
COMMONWEALTH FINANCIAL NETWORK (NORTH KINGSTOWN RI)
RI
03/02/2007 - 08/01/2012
CCO INVESTMENT SERVICES CORP. (WAKEFIELD RI)
RI
06/13/2003 - 02/27/2007
CUNA BROKERAGE SERVICES, INC. (WESTERLY RI)
NY
09/25/2000 - 06/10/2003
QUICK & REILLY, INC. (NEW YORK NY)
MA
08/01/1996 - 09/25/2000
FIS SECURITIES, INC. (BOSTON MA)
IN
01/02/1996 - 08/01/1996
MDS SECURITIES INCORPORATED (CARMEL IN)
ME
10/24/1995 - 12/31/1995
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
MN
09/23/1992 - 10/27/1995
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/23/1992 - 10/27/1995
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 07/03/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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