Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Otis Phillips is an active investment advisor representative in the state of Virginia. James has been in the financial services industry for over 30 years, working with firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Century Securities Associates, Inc., BI Investments, LLC and Infinex Investments, Inc. James is currently registered with LPL Financial LLC and provides financial planning, portfolio management, and other advisory services to individuals, businesses, corporations, and charitable organizations. James also provides pension consulting and educational seminars.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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VA
11/30/2022 - Present
LPL Financial LLC (RICHMOND VA)
VA
06/01/2008 - 11/29/2022
INFINEX INVESTMENTS, INC. (Chester VA)
VA
03/30/2006 - 06/01/2008
BI INVESTMENTS, LLC (AMELIA VA)
VA
01/24/2005 - 04/11/2006
CENTURY SECURITIES ASSOCIATES, INC. (MIDLOTHIAN VA)
NY
02/22/2000 - 12/16/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/10/1992 - 02/25/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/08/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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