Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sidney Carter is a financial advisor in Birmingham, Alabama. James is a registered representative with LPL Financial LLC and has been in the industry since May 24, 1995. He has a wide range of experience, having worked with several firms, including Triad Advisors LLC and Regions Investment Company, Inc. His current registration with LPL Financial LLC is active. James is licensed to offer investment advice and products in Alabama, Florida, Georgia, Mississippi, and North Carolina.
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
AL
03/26/2020 - Present
LPL Financial LLC (BIRMINGHAM AL)
AL
12/17/2008 - 03/24/2020
TRIAD ADVISORS LLC (BIRMINGHAM AL)
AL
06/01/1988 - 04/17/2001
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
NA
09/24/1987 - 06/06/1988
HAND INVESTMENT COMPANY, INC.
IA
Issued 04/28/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/30/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2008
Series 7 - General Securities Representative Examination
BC
Issued 04/26/2000
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
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