Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Glose is a financial advisor with over 38 years of experience in the industry. James is registered with both LPL Financial LLC and Tyler-Stone Wealth Management, LLC. James specializes in providing financial planning and investment advice to individuals, families, and businesses. He is dedicated to helping his clients achieve their financial goals. James Richard Glose has held registrations with several firms throughout his career, including LaSalle St Securities, L.L.C., Saperston Financial Inc., and New England Securities. James is a Series 6, 7, 63, and 65 licensed advisor. James is committed to providing his clients with personalized service and sound financial advice.
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.
1
2
NY
08/03/2021 - Present
LPL Financial LLC (BUFFALO NY)
NY
10/02/1997 - 12/31/2011
LASALLE ST SECURITIES, L.L.C. (WEST SENECA NY)
NY
01/04/1996 - 10/16/1997
SAPERSTON FINANCIAL INC. (BUFFALO NY)
NY
04/25/1996 - 10/01/1997
NEW ENGLAND SECURITIES (NEW YORK NY)
NY
03/21/1994 - 03/12/1996
NEW ENGLAND SECURITIES (NEW YORK NY)
MA
03/15/1991 - 03/14/1994
BERKSHIRE EQUITY SALES, INC. (PITTSFIELD MA)
MA
05/30/1984 - 03/28/1991
SMA EQUITIES, INC. (WORCESTER MA)
IA
Issued 12/06/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1996
Series 7 - General Securities Representative Examination
BC
Issued 05/24/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Glose is the right advisor for you? Invested Better is here to help.
