Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Preston Covington is an active Registered Representative and Investment Advisor Representative with Raymond James & Associates, Inc. located in Columbia, SC. James has been in the financial industry since 1984. James has held previous positions at Wells Fargo Clearing Services, LLC, Wachovia Securities, Inc., and Smith Barney, Harris Upham & Co., Incorporated. James holds licenses in several states including California, Colorado, Florida, Georgia, Hawaii, and many more.
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
SC
09/06/2021 - Present
Raymond James & Associates, Inc. (Columbia SC)
SC
06/15/2002 - 02/21/2017
WELLS FARGO CLEARING SERVICES, LLC (COLUMBIA SC)
NC
03/19/1993 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
01/31/1985 - 03/24/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
09/25/1984 - 02/07/1985
BROKERS EXCHANGE, INC.
IA
Issued 05/06/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/14/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1998
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/1984
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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