Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Roach is a financial advisor with Foreside Fund Services, LLC. James has been in the financial industry since 2012. James holds the Series 7, Series 66, and SIE licenses. James is currently registered in Pennsylvania. Previously James was registered with Securian Financial Services, Inc. and Lincoln Investment. James has 3 years of experience with Securian Financial Services, Inc. and 7 years of experience with Lincoln Investment.
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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2
ME
12/21/2020 - Present
Foreside Fund Services, LLC (Portland ME)
PA
09/02/2020 - 11/04/2020
SECURIAN FINANCIAL SERVICES, INC. (Lancaster PA)
PA
11/20/2012 - 09/02/2016
LINCOLN INVESTMENT (Fort Washington PA)
BOTH
Issued 09/30/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/01/2020
Series 7TO - General Securities Representative Examination
BC
Issued 09/02/2016
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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