Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Ulman is a financial advisor at LPL Enterprise, LLC. James has been in the industry since 2001 and has experience with various investment firms including A. G. Edwards & Sons, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Cetera Investment Services LLC. James is registered with the state of Indiana and holds the Series 66, Series 7, and SIE licenses. He is also registered in Illinois and Tennessee. James provides financial planning services, portfolio management for individuals and businesses, educational seminars, and other non-discretionary advisory services.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
1
2
IN
11/14/2024 - Present
LPL Enterprise, LLC (VALPARAISO IN)
IL
08/01/2011 - 07/17/2020
CETERA INVESTMENT SERVICES LLC (BEECHER IL)
IN
09/13/2004 - 08/02/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MERRILLVILLE IN)
MO
01/12/2001 - 09/01/2004
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 02/08/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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