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 Pflaum is a financial advisor in Warrenton, Virginia. James has been working in the financial industry since January 17, 1996. James is currently registered with Cambridge Investment Research, Inc. and is a registered representative in Virginia. James is also a registered representative with Nationwide Securities, LLC and First Investors Corporation. James has Series 6, SIE, and Series 63 licenses.
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.
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.
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VA
07/01/2020 - Present
Cambridge Investment Research, Inc. (Warrenton VA)
VA
02/19/1999 - 07/01/2020
NATIONWIDE SECURITIES, LLC (WARRENTON VA)
NJ
10/25/1995 - 11/25/1998
FIRST INVESTORS CORPORATION (EDISON NJ)
BC
Issued 10/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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