Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Warwick is a financial professional with over 28 years of experience in the industry. James is currently registered with Invesco Distributors, Inc. and has been with the firm since June 2010. Prior to joining Invesco, James worked at VAN KAMPEN FUNDS INC. and A I M DISTRIBUTORS, INC. James is licensed to provide investment advice in all 50 states and the District of Columbia. He is also a registered principal with FINRA. James has passed a variety of industry exams including the Series 6, Series 7, Series 26, Series 63, and Series 65.
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.
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.
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TX
06/01/2010 - Present
Invesco Distributors, Inc. (HOUSTON TX)
TX
05/22/2002 - 06/01/2010
VAN KAMPEN FUNDS INC. (HOUSTON TX)
TX
05/31/1994 - 05/29/2002
A I M DISTRIBUTORS, INC. (HOUSTON TX)
IA
Issued 10/23/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2002
Series 7 - General Securities Representative Examination
BC
Issued 05/18/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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