Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Harkins is a financial advisor currently associated with Raymond James & Associates, Inc. James has more than 15 years of experience in the financial services industry. James has a strong track record of helping clients achieve their financial goals, whether it be retirement planning, college savings, or estate planning. James is committed to providing personalized financial advice and services to meet the unique needs of each of his clients.
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.
Please see note in schedule d - miscellaneous
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
NV
10/29/2024 - Present
Raymond James & Associates, Inc. (Las Vegas NV)
NV
04/27/2017 - 03/09/2018
SCOTTRADE, INC. (LAS VEGAS NV)
TX
12/18/2012 - 03/10/2016
TD AMERITRADE, INC. (FORT WORTH TX)
TX
06/02/2011 - 10/05/2012
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
01/10/2008 - 05/13/2009
TD AMERITRADE, INC. (FORT WORTH TX)
OK
07/18/2007 - 09/07/2007
METLIFE SECURITIES INC. (OKLAHOMA CITY OK)
TX
08/12/1993 - 06/26/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
06/18/1992 - 03/30/1993
THE PRINCIPAL/EPPLER, GUERIN & TURNER, INC. (DALLAS TX)
BOTH
Issued 11/11/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/24/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 09/18/2023
Series 7TO - General Securities Representative Examination
BC
Issued 04/01/2023
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2007
Series 7 - General Securities Representative Examination
BC
Issued 07/19/1990
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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