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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 Clifford is a financial advisor registered with Cetera Investment Advisers LLC. James Clifford has been in the industry since February 17, 1992. James Clifford has passed the Series 63, Series 65, Series 7, Series 3 and Series 24 exams. James Clifford is currently registered with the state of South Carolina. James Clifford's firm, Cetera Investment Advisers LLC, manages approximately $104,468,595,111 in assets for its clients. Cetera Investment Advisers LLC provides financial planning, pension consulting, educational seminars, portfolio management for businesses, and portfolio management for individuals.
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.
A percentage of the total value of assets under management is charged.
1
2
SC
11/12/2020 - Present
Cetera Investment Advisers LLC (MOUNT PLEASANT SC)
SC
06/13/2005 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (Mount Pleasant SC)
CA
06/03/2002 - 06/13/2005
ROUND HILL SECURITIES, INC. (ALAMO CA)
NY
04/24/1996 - 06/03/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
08/09/1993 - 05/06/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/18/1992 - 08/09/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
IA
Issued 10/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/2/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/28/2002
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/7/2001
Series 3 - National Commodity Futures Examination
BC
Issued 7/31/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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