Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Raymond Clark is a financial advisor who has been in the industry since 1988. Currently, James is a registered representative with LPL Financial LLC and is registered in South Carolina and Texas. Previously, James worked for a number of other firms including CETERA INVESTMENT SERVICES LLC, BOSC, INC., SWS FINANCIAL SERVICES, SANDERS MORRIS HARRIS INC., STEPHENS INC., COMPASS BROKERAGE, INC., BANC ONE SECURITIES CORPORATION, MBANK CAPITAL MARKETS, INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. James holds licenses for Series 7, Series 24, Series 52TO, Series 53, Series 63, and Series 65. James's specializations include providing financial planning, educational seminars, selection of other advisors, and portfolio management for businesses and 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.
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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2
TX
05/28/2019 - Present
LPL Financial LLC (DALLAS TX)
TX
05/01/2014 - 07/08/2015
CETERA INVESTMENT SERVICES LLC (DALLAS TX)
TX
10/27/2009 - 05/06/2014
BOSC, INC. (DALLAS TX)
TX
03/05/2009 - 11/02/2009
SWS FINANCIAL SERVICES (DALLAS TX)
TX
10/03/2005 - 01/30/2007
SANDERS MORRIS HARRIS INC. (DALLAS TX)
AR
04/07/2000 - 10/04/2005
STEPHENS INC. (LITTLE ROCK AR)
AL
11/16/1993 - 05/11/2000
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
IL
10/26/1990 - 12/06/1993
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NA
09/07/1990 - 10/26/1990
MBANK CAPITAL MARKETS, INC.
NA
05/23/1985 - 05/09/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 03/03/2009
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/18/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/1992
Series 24 - General Securities Principal Examination
BC
Issued 07/27/1989
Series 53 - Municipal 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 05/18/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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