Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Helton is a financial advisor with Raymond James & Associates, Inc. James has been in the industry since March 1999, and has a diverse background in the industry having worked for various firms including Wells Fargo Clearing Services, LLC, Morgan Keegan & Company, Inc., UBS PaineWebber Inc., and J.C. Bradford & Co.. James provides a range of services to individual and business clients, including financial planning, portfolio management, and pension consulting. James holds Series 7, Series 63, and Series 65 licenses. James is registered to provide investment advisory services in Georgia and Texas. James also is a member of a social investment club and owns rental real estate.
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.
Please see note in schedule d - miscellaneous
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
GA
03/29/2022 - Present
Raymond James & Associates, Inc. (AUGUSTA GA)
GA
08/08/2008 - 03/25/2021
WELLS FARGO CLEARING SERVICES, LLC (AUGUSTA GA)
GA
05/29/2002 - 08/12/2008
MORGAN KEEGAN & COMPANY, INC. (THOMSON GA)
NJ
08/14/2000 - 06/13/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
03/16/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 12/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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