Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carlson is a registered representative of Northland Securities, Inc. and has been working in the financial services industry since 1980. James holds a Series 63, 65, 3, 4, 5, 7, 8, 9, 10, 24, 99TO and SIE license. James is registered to provide investment advice in California, Colorado, Florida, Illinois, Minnesota and Wisconsin. James is also an arbitrator for the NASD board of arbitration. James has prior experience working at FIRST MIDAMERICA INVESTMENT CORPORATION, CITIGROUP GLOBAL MARKETS INC., PAINEWEBBER INCORPORATED, DEAN WITTER REYNOLDS INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Research 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.
A percentage of the total value of assets under management is charged.
Negotiated
1
2
WI
01/13/2010 - Present
Northland Securities, Inc. (MILWAUKEE WI)
WI
03/22/2007 - 12/31/2007
FIRST MIDAMERICA INVESTMENT CORPORATION (MILWAUKEE WI)
WI
03/17/2000 - 03/26/2007
CITIGROUP GLOBAL MARKETS INC. (MILWAUKEE WI)
NJ
02/10/1987 - 03/27/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
02/22/1984 - 02/13/1987
DEAN WITTER REYNOLDS INC.
NA
04/24/1980 - 02/17/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 01/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 07/19/2007
Series 24 - General Securities Principal Examination
BC
Issued 11/15/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1989
Series 3 - National Commodity Futures Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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