Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Schmidt is a financial advisor with LPL Financial LLC, a large independent broker-dealer and registered investment advisor, based in San Diego, California. James holds the Series 7TO, Series 63, and Series 24 securities licenses. James is registered to provide securities and investment advisory services in 53 states, as well as Puerto Rico and the Virgin Islands. Prior to joining LPL Financial LLC, James worked for MML Investors Services, LLC in Springfield, MA from June 2019 to August 2021.
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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CA
08/30/2021 - Present
LPL Financial LLC (SAN DIEGO CA)
MA
06/01/2019 - 08/16/2021
MML INVESTORS SERVICES, LLC (SPRINGFIELD MA)
BC
Issued 08/07/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2020
Series 24 - General Securities Principal Examination
BC
Issued 06/01/2019
Series 7TO - General Securities Representative Examination
BC
Issued 12/05/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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