Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Connor is a financial advisor registered with LPL Financial LLC. James has been in the financial services industry since 1988 and is licensed to provide advisory services in 26 states and the District of Columbia. James has several financial industry designations and licenses, including Series 7, Series 6, Series 22, Series 52, Series 62, Series 63, Series 65, and Series 26. James has experience working with a variety of clients including individuals, corporations, trusts, and estates. James also has experience in a variety of financial services areas such as investment management, financial planning, and insurance. James is committed to providing his clients with personalized financial advice and guidance.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
08/16/2019 - Present
LPL Financial LLC (FAIRFIELD OH)
OH
11/09/2012 - 02/14/2018
INVEST FINANCIAL CORPORATION (FAIRFIELD OH)
OH
01/16/1997 - 11/13/2012
INVESTORS CAPITAL CORP. (CINCINNATI OH)
VA
11/17/1994 - 01/30/1997
FORTH FINANCIAL SECURITIES, CORPORATION (RICHMOND VA)
MA
07/11/1988 - 10/21/1994
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
07/11/1988 - 10/21/1994
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 12/08/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2018
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2018
Series 7 - General Securities Representative Examination
BC
Issued 07/06/2015
Series 52 - Municipal Securities Representative Examination
BC
Issued 05/18/2004
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 12/01/2003
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 07/08/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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