Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Parker is a financial advisor who has been working in the industry since 1996. He is registered with Cetera Investment Advisers LLC and is licensed to provide financial advice in a number of states. James has a wide range of experience in the industry, including experience in investment management, financial planning, and insurance. He is committed to providing his clients with the best possible advice and service. James has previously held roles at firms such as Sorrento Pacific Financial, LLC, Partnervest Securities, Inc., CitiCorp Investment Services, UBS Financial Services Inc., and Morgan Stanley DW Inc. James has also indicated he has experience in working with a range of clients, including high-net-worth individuals, corporations, and charitable organizations.
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.
A percentage of the total value of assets under management is charged.
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2
CA
03/21/2024 - Present
Cetera Investment Advisers LLC (OXNARD CA)
CA
07/31/2009 - 08/01/2013
SORRENTO PACIFIC FINANCIAL, LLC (OXNARD CA)
CA
05/31/2007 - 07/31/2009
PARTNERVEST SECURITIES, INC. (OXNARD CA)
CA
06/27/2006 - 04/10/2007
CITICORP INVESTMENT SERVICES (CAMARILLO CA)
CA
04/27/2001 - 08/01/2006
UBS FINANCIAL SERVICES INC. (OXNARD CA)
NY
04/11/1996 - 04/30/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 05/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 04/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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