Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Phillips is a financial advisor with over 40 years of experience in the industry. James is currently registered with LPL Financial LLC, a firm with over 20,000 licensed agents and registered representatives. James has worked with a variety of firms throughout his career, including Waddell & Reed, Wells Fargo Advisors, LLC, A. G. Edwards & Sons, Inc., Oppenheimer & Co. Inc., Wachovia Securities, LLC, PaineWebber Incorporated, Dean Witter Reynolds Inc., Sutro & Co. Incorporated, Progressive Asset Management, Inc., Prudential-Bache Securities Inc., Thomson McKinnon Securities Inc., Drexel Burnham Lambert Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James offers financial planning, portfolio management for individuals and businesses, and pension consulting services.
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.
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2
CA
07/21/2021 - Present
LPL Financial LLC (SHERMAN OAKS CA)
CA
06/05/2015 - 07/21/2021
WADDELL & REED (SHERMAN OAKS CA)
CA
01/01/2008 - 06/10/2015
WELLS FARGO ADVISORS, LLC (LOS ANGELES CA)
CA
04/20/2007 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SHERMAN OAKS CA)
CA
06/23/2003 - 05/01/2007
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
MO
09/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
05/14/1996 - 08/27/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
08/13/1993 - 04/30/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CA
06/06/1991 - 08/05/1993
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
CA
11/21/1990 - 06/18/1991
PROGRESSIVE ASSET MANAGEMENT, INC. (SAN RAFAEL CA)
NY
08/25/1989 - 11/06/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
02/13/1989 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
04/01/1987 - 03/11/1989
SUTRO & CO. INCORPORATED
NA
08/10/1984 - 03/20/1987
DREXEL BURNHAM LAMBERT INCORPORATED
NA
01/16/1981 - 08/10/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
03/22/1978 - 12/12/1979
CAL-WESTERN SECURITIES CO.
NA
03/22/1978 - 12/12/1979
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
BC
Issued 11/07/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1981
Series 7 - General Securities Representative Examination
BC
Issued 03/13/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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