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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 registered investment advisor representative with Cetera Investment Advisers LLC. James Parker has been in the industry since May 1996 and is currently registered with the state of California. James Parker also holds the Series 7, Series 31, Series 63, and Series 65 licenses. James Parker has previously worked with several other firms including Sorrento Pacific Financial, LLC, Partnervest Securities, Inc., CitiCorp Investment Services, UBS Financial Services Inc., and Morgan Stanley DW Inc.. James Parker offers investment advice and financial planning services to individuals, businesses, and retirement plans.
OXNARD, CA
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 5/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/19/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 4/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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