Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Taylor is a financial advisor with over 20 years of experience in the financial services industry. James is registered with LPL Financial LLC and has a Series 7, Series 63, Series 66, and Series 53 license. James has previously worked with Wells Fargo Clearing Services, LLC, J.P. Morgan Securities LLC, and Amegy Investments, Inc. James specializes in providing financial advice to individuals, families, and businesses. James also has experience in working with pension and profit-sharing plans, and charitable organizations.
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
TX
06/16/2017 - Present
LPL Financial LLC (HOUSTON TX)
TX
03/13/2013 - 06/23/2017
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
TX
05/25/2010 - 02/26/2013
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
08/13/2003 - 05/17/2010
AMEGY INVESTMENTS, INC. (HOUSTON TX)
BOTH
Issued 04/10/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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