Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Abernethy is a financial advisor with LPL Financial LLC and has been in the industry since 1989. James is registered with FINRA and has a Series 7, Series 24, Series 63, and Series 66 licenses. James has worked with clients in the Littleton, CO area for several years and has extensive experience working with high net worth individuals, corporations and pension plans. James has held previous positions with Investment Centers of America, Inc and Integrated Resources Equity Corporation. James is dedicated to helping clients meet their financial goals.
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
CO
11/29/2017 - Present
LPL Financial LLC (LITTLETON CO)
CO
09/19/2012 - 11/29/2017
INVESTMENT CENTERS OF AMERICA, INC. (EVERGREEN CO)
CO
03/06/1997 - 10/03/2012
LPL FINANCIAL LLC (EVERGREEN CO)
WI
09/19/1991 - 03/17/1997
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
NA
05/26/1983 - 06/18/1985
INTEGRATED RESOURCES EQUITY CORPORATION
BOTH
Issued 03/14/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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