Unclaimed
James Stephen Cruise is a registered representative with LPL Financial LLC. James has been in the securities industry since December 2014. James is registered with the following states: Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Illinois, Indiana, Maine, Maryland, Massachusetts, Minnesota, Mississippi, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, Virginia, and Wisconsin. James is also registered as an investment advisor representative in Rhode Island, Texas, and Virginia. James has passed the Series 66, Series 7, and SIE exams. James provides a variety of services to clients, including financial planning, portfolio management for individuals and businesses, and pension consulting. James also offers educational seminars and helps clients select other advisors. James also provides non-discretionary advisory services, including consulting.
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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RI
11/17/2023 - Present
LPL Financial LLC (PROVIDENCE RI)
BOTH
Issued 03/13/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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