Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Malone is a financial advisor with over 40 years of experience in the industry. James started his career at Merrill Lynch, Pierce, Fenner & Smith, Inc. and has since worked for several other firms, including Institutional Equity Corporation, Hilltop Securities Inc., and most recently, LPL Financial LLC. James is currently registered to provide financial advice in 13 states, including Arkansas, California, Illinois, Louisiana, Missouri, Nevada, North Carolina, Oklahoma, Texas, Virginia and Washington. James holds several licenses, including the Series 7 and Series 63 and the Series 65. James has a wide range of experience in financial planning and portfolio management for individuals and businesses.
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
TX
06/14/2023 - Present
LPL Financial LLC (LONGVIEW TX)
TX
09/12/1984 - 07/03/2023
HILLTOP SECURITIES INC. (LONGVIEW TX)
NA
05/17/1982 - 09/14/1984
INSTITUTIONAL EQUITY CORPORATION
NA
09/26/1978 - 06/01/1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
01/03/1978 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 01/16/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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