Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sullivan is a financial advisor with over 20 years of experience in the industry. James is currently registered with Private Advisor Group, LLC and holds Series 6, 7, 63 and 65 licenses as well as the SIE exam. James has worked with a variety of clients, including individuals, families, corporations, and charitable organizations. James focuses on providing investment advice, financial planning, and retirement planning services. James also provides real estate rental services through his own LLC.
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.
Solicitation/referral
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.
A percentage of the total value of assets under management is charged.
Solicitor/referral fees
1
2
KY
08/05/2024 - Present
Private Advisor Group, LLC (OWENSBORO KY)
KY
03/17/2011 - 07/22/2014
LINCOLN FINANCIAL SECURITIES CORPORATION (OWENSBORO KY)
KY
10/22/2007 - 02/14/2011
TRANSAMERICA CAPITAL, INC. (LOUISVILLE KY)
KY
04/19/2000 - 11/19/2007
INTERSECURITIES, INC. (LOUISVILLE KY)
IA
Issued 06/09/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2016
Series 7 - General Securities Representative Examination
BC
Issued 04/18/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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