Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McCloskey is a financial professional with over 25 years of experience in the industry. James currently works as a registered representative with Cetera Investment Advisers LLC. Prior to that, James worked with Securian Financial Services, Inc. and NSHD Financial and Insurance Services, LLC. James has a broad range of experience in the industry and holds several licenses and certifications.
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
08/10/2023 - Present
Cetera Investment Advisers LLC (NEWPORT BEACH CA)
CA
02/18/1997 - 08/10/2023
SECURIAN FINANCIAL SERVICES, INC. (NEWPORT BEACH CA)
CA
08/28/2001 - 04/06/2005
NSHD FINANCIAL AND INSURANCE SERVICES, LLC (NEW PORT BEACH CA)
IA
Issued 09/07/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/03/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1999
Series 7 - General Securities Representative Examination
BC
Issued 02/13/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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