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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 Patrick Spillane is a financial advisor who is currently registered with Fisher Investments. James has been in the industry since 1996 and has held various roles at different financial institutions. James holds the Series 6, 7, 63, and 65 licenses, as well as the SIE exam. James specializes in providing financial planning and portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles. James has worked at Fisher Investments since 2016. Prior to that, James worked at TIAA-CREF Individual & Institutional Services, LLC and The Dreyfus Service Corporation.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Portfolio assessment
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
09/08/2023 - Present
Fisher Investments (PLANO TX)
NC
12/23/1997 - 01/25/2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NY
02/07/1996 - 10/01/1997
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
IA
Issued 09/22/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2016
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/06/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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