Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames R Cirocco is a financial advisor with over 10 years of experience in the industry. James is registered with LPL Financial LLC, and has a Series 6, 7, 63, 65 and SIE licenses. Prior to LPL Financial LLC, James worked at Lincoln Investment and Legend Equities Corporation. James is a registered investment advisor in Connecticut, Florida, Georgia, New York and North Carolina. James specializes in providing financial planning, portfolio management and other non-discretionary advisory services to individuals, businesses and charitable organizations.
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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NY
08/03/2021 - Present
LPL Financial LLC (ELMSFORD NY)
NY
01/03/2017 - 07/31/2017
LINCOLN INVESTMENT (Carmel NY)
NY
11/20/2012 - 01/03/2017
LEGEND EQUITIES CORPORATION (Carmel NY)
IA
Issued 01/31/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2017
Series 7 - General Securities Representative Examination
BC
Issued 10/16/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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