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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 Paul Phelan is a financial advisor registered with LPL Financial LLC in Salisbury, Maryland. James Phelan has been in the financial industry since 1995. James Phelan has experience working with corporations or other businesses, individuals other than high-net-worth, high-net-worth individuals, pension and profit-sharing plans, and charitable organizations. James Phelan is also registered as an Investment Advisor Representative (IAR) with the state of Maryland.
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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2
MD
02/24/2022 - Present
LPL Financial LLC (SALISBURY MD)
MD
05/27/2015 - 06/09/2021
LPL FINANCIAL LLC (TOWSON MD)
MD
03/11/2008 - 05/27/2014
PNC INVESTMENTS (BALTIMORE MD)
MD
06/30/2003 - 02/15/2008
UVEST FINANCIAL SERVICES GROUP, INC. (BALTIMORE MD)
CA
01/05/2001 - 07/01/2003
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
MD
03/03/2000 - 12/01/2000
ALLFIRST BROKERAGE CORPORATION (BALTIMORE MD)
CA
09/27/1993 - 02/22/2000
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
IA
Issued 11/20/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/14/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/21/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/02/2006
Series 24 - General Securities Principal Examination
BC
Issued 08/22/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/1995
Series 7 - General Securities Representative Examination
BC
Issued 09/21/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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