Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dumbeck is an investment advisor representative at LPL Financial LLC. James is a CERTIFIED FINANCIAL PLANNER™ professional and has been in the securities industry since March 1997. James holds Series 6, 7, 63 and 66 licenses, as well as the SIE exam. James is registered in 27 states and 2 other jurisdictions. James also has experience working at Waddell & Reed, Banc of America Investment Services, Inc., and BA Investment Services, Inc.
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
CA
07/21/2021 - Present
LPL Financial LLC (SEAL BEACH CA)
CA
08/03/2000 - 07/21/2021
WADDELL & REED (Seal Beach CA)
MA
07/12/1999 - 07/14/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
02/25/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 08/07/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/24/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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