Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Neal Turner is a financial advisor with over 30 years of experience in the industry. James is currently registered with LPL Enterprise, LLC and has been in the financial services industry since 1991. James has a diverse background, having worked with several firms over the years, including Merrill Lynch, First Command Brokerage Services, Inc., and UBS Financial Services Inc. James is dedicated to providing comprehensive financial guidance to individuals and businesses. James holds various securities licenses, including Series 3, 7, 8, 9, 10, 63, and 65. James specializes in providing financial planning, portfolio management, and 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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
1
2
TX
11/14/2024 - Present
LPL Enterprise, LLC (PLANO TX)
TX
11/23/2016 - 06/25/2020
FIRST COMMAND BROKERAGE SERVICES, INC. (PLANO TX)
TX
09/10/2015 - 05/10/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLANO TX)
TX
04/21/2014 - 08/10/2015
IMS SECURITIES, INC. (DALLAS TX)
TX
04/29/2009 - 04/22/2014
WFG INVESTMENTS, INC. (PLANO TX)
TX
10/10/2007 - 05/28/2009
SUMMITALLIANCE SECURITIES, L.L.C. (DALLAS TX)
TX
10/17/2005 - 11/05/2007
UBS FINANCIAL SERVICES INC. (DALLAS TX)
NY
06/24/2002 - 10/20/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/02/1998 - 07/08/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
09/27/1996 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
07/26/1990 - 10/22/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/30/1990
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 08/16/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/1993
Series 3 - National Commodity Futures Examination
BC
Issued 07/23/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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