Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Chase is a financial advisor registered with LPL Financial LLC. James has been in the financial services industry for over 10 years and has experience working with individuals, families, and businesses. James holds several licenses and registrations, including Series 7, 6, 63, 65, and 66. James is also a licensed insurance agent. James’s previous work experience includes roles at HSBC Securities (USA) Inc., Wells Fargo Clearing Services, LLC, and Key Investment Services LLC. James is currently registered with LPL Financial LLC in New York and Texas. James’s specializations include retirement planning, college savings, and estate planning. James is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
1
2
NY
03/06/2024 - Present
LPL Financial LLC (UTICA NY)
NY
06/23/2017 - 07/30/2018
WELLS FARGO CLEARING SERVICES, LLC (NEW HARTFORD NY)
NY
09/21/2016 - 07/11/2017
KEY INVESTMENT SERVICES LLC (NEW HARTFORD NY)
NY
05/18/2012 - 09/21/2016
LPL FINANCIAL LLC (NEW HARTFORD NY)
NY
10/12/2009 - 05/15/2012
HSBC SECURITIES (USA) INC. (WHITESBORO NY)
BOTH
Issued 11/05/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/19/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/29/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2021
Series 7TO - General Securities Representative Examination
BC
Issued 07/30/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/2013
Series 7 - General Securities Representative Examination
BC
Issued 10/09/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Chase is the right advisor for you? Invested Better is here to help.
