Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Clancy is a registered representative with LPL Financial LLC. James has been in the industry since October 1986. James has passed the Series 31, Series 7, and Series 66 exams. James previously worked for firms including INFINEX INVESTMENTS, INC., ING INVESTMENTS DISTRIBUTOR, LLC, MORGAN STANLEY SMITH BARNEY, MORGAN STANLEY & CO. INCORPORATED, CITIGROUP GLOBAL MARKETS INC., KELLOGG SPECIALIST GROUP LLC, PERFORMANCE SPECIALIST GROUP LLC, PERFORMANCE SPECIALIST GROUP, LLC, FLEET SPECIALIST, INC., FLEET SECURITIES, INC., QUICK & REILLY, INC., and STOKES, HOYT & CO. James currently provides services to clients in East Hartford, Connecticut, and surrounding areas.
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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2
CT
12/24/2019 - Present
LPL Financial LLC (EAST HARTFORD CT)
CT
02/28/2014 - 11/26/2019
INFINEX INVESTMENTS, INC. (Glastonbury CT)
CT
06/05/2012 - 03/03/2014
ING INVESTMENTS DISTRIBUTOR, LLC (WINDSOR CT)
NY
06/01/2009 - 06/14/2012
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
07/15/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
01/07/2008 - 08/19/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/21/2002 - 07/12/2007
KELLOGG SPECIALIST GROUP LLC (NEW YORK NY)
NY
03/19/2002 - 01/28/2003
PERFORMANCE SPECIALIST GROUP LLC (NEW YORK NY)
NY
01/25/2002 - 04/01/2002
PERFORMANCE SPECIALIST GROUP, LLC (NEW YORK NY)
NY
10/01/2000 - 01/22/2002
FLEET SPECIALIST, INC. (NEW YORK NY)
TX
04/16/1998 - 08/10/2000
FLEET SECURITIES, INC. (DALLAS TX)
NY
04/14/1993 - 07/17/1997
QUICK & REILLY, INC. (NEW YORK NY)
NY
02/21/1985 - 01/15/1993
STOKES, HOYT & CO. (NEW YORK NY)
BOTH
Issued 02/29/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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