Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nealon is a financial professional with over 20 years of experience in the industry. James is currently registered with Empower Financial Services, Inc. Prior to this, James has also held positions at Prudential Investment Management Services LLC, Prudential Retirement Services, Inc. and Prudential Asset Management Company Securities Corporation. James holds FINRA Series 6, 63, 99, and SIE licenses.
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.
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.
1
2
CO
04/04/2022 - Present
Empower Financial Services, Inc. (GREENWOOD VILLAGE CO)
PA
11/19/2012 - 04/04/2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (SCRANTON PA)
NJ
01/01/1997 - 06/13/2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
05/01/1993 - 01/01/1997
PRUDENTIAL RETIREMENT SERVICES, INC. (NEWARK NJ)
NJ
11/27/1992 - 05/01/1993
PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 04/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2012
Series 99 - Operations Professional Examination
BC
Issued 11/23/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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