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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Wallisch is a financial advisor at LPL Financial LLC in Pittsburgh, PA. James has been in the financial services industry since August 1986. James has a wide range of experience and holds a number of licenses and certifications, including Series 7, 3, 24, 51, 63 and 65. James also provides financial planning and portfolio management 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.
1
2
PA
01/30/2020 - Present
LPL Financial LLC (PITTSBURGH PA)
PA
09/17/1996 - 01/31/2020
RAYMOND JAMES FINANCIAL SERVICES, INC. (PITTSBURGH PA)
FL
06/25/1991 - 04/08/1996
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
NY
04/18/1984 - 08/03/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 09/04/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/17/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/31/2006
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 12/20/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/1984
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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