Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Erneston is an investment advisor representative registered with the Securities and Exchange Commission (SEC) and has been in the industry since June 2009. James is currently registered with THE Strategic Financial Alliance, Inc. and has previously been registered with Morgan Stanley, Preferred Capital Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and AXA Advisors, LLC. James holds the Series 66, SIE and Series 7 licenses. James provides financial planning services, educational seminars and portfolio management services for individuals and businesses.
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.
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.
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2
MD
01/23/2024 - Present
THE Strategic Financial Alliance, Inc. (Chevy Chase MD)
MD
02/22/2022 - 04/27/2023
MORGAN STANLEY (Bethesda MD)
GA
01/24/2018 - 02/15/2022
PREFERRED CAPITAL SECURITIES, LLC (Atlanta GA)
GA
07/12/2007 - 10/03/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ATLANTA GA)
NY
09/30/2005 - 11/03/2005
AXA ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 03/02/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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