Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Paul Gahagan is a financial advisor currently registered with LPL Financial LLC. James has been in the financial industry since August 1996. James has worked with Pruco Securities, LLC and The Prudential Insurance Company of America. James is licensed in the states of California, Nevada, Oregon, South Carolina, and Washington. James also provides non-variable insurance services. James is registered as an investment advisor representative in California. James offers services in financial planning, pension consulting, and educational seminars. James has a special interest in investments for individual clients, business clients, charitable organizations, pension and profit sharing plans, and corporations. James is also registered to offer 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.
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.
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CA
07/31/2017 - Present
LPL Financial LLC (SANTA CRUZ CA)
CA
08/29/1996 - 08/10/2017
PRUCO SECURITIES, LLC. (SANTA CRUZ CA)
IA
Issued 12/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2001
Series 7 - General Securities Representative Examination
BC
Issued 08/27/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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