Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carlson is a financial advisor in Dallas, Texas, with over 37 years of experience. James is currently registered with Avantax Advisory Services, and has been registered with the firm since August 2, 2023. Previously, James was registered with The O.N. Equity Sales Company and NYLIFE Securities Inc. James is a Series 6, Series 22, and Series 63 licensed professional. James provides financial planning services, including tax planning, estate planning, retirement planning, and risk analysis to individuals and businesses. He has a wide range of experience in the financial services industry.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
TX
08/02/2023 - Present
Avantax Advisory Services (DALLAS TX)
MN
08/27/2003 - 07/24/2023
THE O.N. EQUITY SALES COMPANY (BURNSVILLE MN)
NY
04/03/1986 - 06/24/2003
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 05/27/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1986
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/28/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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