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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 Peter Kos has been in the financial services industry since 2006. James is a registered representative with Commonwealth Financial Network, and is licensed in multiple states. James specializes in offering financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and the publication of periodicals. James has a diverse client base including high-net-worth individuals, corporations, and pension and profit-sharing plans. In addition to being a registered representative with Commonwealth Financial Network, James also has experience working at MMC Securities Corp. and Investors Capital Corp.
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.
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
ME
04/26/2017 - Present
Commonwealth Financial Network (Freeport ME)
MA
11/10/2006 - 04/13/2011
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
MA
11/14/2005 - 10/10/2006
MMC SECURITIES CORP. (NORWOOD MA)
IA
Issued 04/19/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/10/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/07/2008
Series 4 - Registered Options Principal Examination
BC
Issued 06/08/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2006
Series 7 - General Securities Representative Examination
BC
Issued 11/11/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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