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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 Costello is a financial professional with over 25 years of experience in the financial services industry. James is a Certified Financial Planner® professional and is currently registered with Cambridge Investment Research Advisors, Inc. James has been with Cambridge Investment Research Advisors, Inc. since 2016. Prior to that, James was affiliated with PROTECTED INVESTORS OF AMERICA, EQUITY SERVICES, INC., RAYMOND JAMES FINANCIAL SERVICES, INC., WM FINANCIAL SERVICES, INC., FINANCIAL WEST GROUP, ROYAL ALLIANCE ASSOCIATES, INC. and SPELMAN & CO., INC. James holds FINRA Series 6, 7, 63 and 65 registrations. James also holds the Securities Industry Essentials Examination (SIE). James is located at 4380 Redwood Highway, Suite A-8 in San Rafael, CA 94903.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
CA
06/10/2016 - Present
Cambridge Investment Research Advisors, Inc. (San Rafael CA)
CA
07/16/2013 - 07/22/2016
PROTECTED INVESTORS OF AMERICA (San Anselmo CA)
CA
02/05/2002 - 07/31/2013
EQUITY SERVICES, INC. (SAN RAFAEL CA)
FL
03/18/1998 - 01/03/2002
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CA
09/03/1997 - 02/12/1998
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NV
11/04/1996 - 08/27/1997
FINANCIAL WEST GROUP (RENO NV)
AZ
01/19/1996 - 03/04/1996
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
AZ
04/29/1994 - 11/06/1995
SPELMAN & CO., INC. (PHOENIX AZ)
IA
Issued 08/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/27/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1997
Series 7 - General Securities Representative Examination
BC
Issued 04/27/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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