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 Hall has been in the financial industry since October 30, 1996. Currently James is a registered representative at Cambridge Investment Research Advisors, Inc., James is also registered as an Investment Advisor Representative for Cambridge Investment Research Advisors, Inc. in Texas. James has a Series 63, SIE, and Series 6 license. James is also registered in Texas and four other states, including Arkansas, California and Louisiana. Prior to Cambridge Investment Research Advisors, Inc., James worked for Transamerica Financial Advisors, Inc. and Smart Financial Resources.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
TX
05/06/2016 - Present
Cambridge Investment Research Advisors, Inc. (Houston TX)
TX
07/11/1997 - 05/09/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (HOUSTON TX)
AL
10/31/1996 - 07/15/1997
PROEQUITIES, INC. (BIRMINGHAM AL)
BC
Issued 10/17/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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