Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Piper is a registered representative with LPL Financial LLC. James has been in the financial services industry since 1996. James has been affiliated with LPL Financial LLC since September 2023. Previously, James was registered with Securities America, Inc., KMS Financial Services, Inc., Ameriprise Financial Services, Inc., and Ameriprise Advisor Services, Inc.. James has a wide range of experience in providing financial advice to clients. James is committed to helping clients achieve their financial goals. James is registered to offer securities and investment advisory services in Arizona, Florida, Illinois, Nevada, and Washington.
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
WA
09/28/2023 - Present
LPL Financial LLC (TACOMA WA)
WA
11/06/2020 - 10/04/2023
SECURITIES AMERICA, INC. (Tacoma WA)
WA
02/05/2016 - 11/06/2020
KMS FINANCIAL SERVICES, INC. (Tacoma WA)
WA
10/05/2009 - 02/26/2016
AMERIPRISE FINANCIAL SERVICES, INC. (TACOMA WA)
WA
01/30/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (TACOMA WA)
WA
11/26/1996 - 02/19/2009
CITIGROUP GLOBAL MARKETS INC. (TACOMA WA)
IA
Issued 12/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 11/25/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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