Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Federis is a financial professional with over 27 years of experience in the industry. James is currently registered with LPL Enterprise, LLC and LPL Financial LLC. James is a highly experienced advisor having worked with several firms including LINSCO/PRIVATE LEDGER CORP., VANGUARD MARKETING CORPORATION and SIMMERS CAPITAL MANAGEMENT CORPORATION. James is a Series 63, Series 53, Series 4, Series 24, Series 52TO, Series 99TO, SIE, Series 7 and Series 6 licensed professional. James offers a variety of financial planning services for individuals and businesses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
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2
SC
06/17/2024 - Present
LPL Enterprise, LLC (FORT MILL SC)
SC
10/07/2004 - 02/10/2006
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
PA
09/26/1995 - 10/05/2004
VANGUARD MARKETING CORPORATION (MALVERN PA)
AZ
02/22/1995 - 08/30/1995
SIMMERS CAPITAL MANAGEMENT CORPORATION (PHOENIX AZ)
BC
Issued 03/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/04/2003
Series 4 - Registered Options Principal Examination
BC
Issued 02/21/2003
Series 24 - General Securities Principal Examination
BC
Issued 06/17/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1997
Series 7 - General Securities Representative Examination
BC
Issued 02/21/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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