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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stephen Defalco, Jr. is a financial advisor with LPL Financial LLC in REDONDO BEACH, CA. James Defalco has been in the financial services industry since 1996. James Defalco's previous experience includes working with INVEST FINANCIAL CORPORATION, INVESTMENT CENTERS OF AMERICA, INC., SII INVESTMENTS, INC., NATIONAL PLANNING CORPORATION, RP CAPITAL LLC, CAPITAL BROKERAGE CORPORATION, ASSETMARK CAPITAL CORPORATION, NATIONWIDE INVESTMENT SERVICES CORPORATION, STRONG INVESTMENTS, INC., ING FUNDS DISTRIBUTOR, INC., PRINCETON SECURITIES CORPORATION, and L.C. WEGARD & CO., INC. James Defalco is registered with the state of California as a Broker-Dealer and Investment Advisor Representative.
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
CA
11/24/2017 - Present
LPL Financial LLC (SAN DIEGO CA)
WI
01/11/2016 - 10/04/2017
INVEST FINANCIAL CORPORATION (APPLETON WI)
WI
01/11/2016 - 10/04/2017
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
WI
01/11/2016 - 10/04/2017
SII INVESTMENTS, INC. (APPLETON WI)
CA
07/02/2012 - 10/04/2017
NATIONAL PLANNING CORPORATION (El Segundo CA)
WA
02/02/2011 - 06/25/2012
RP CAPITAL LLC (GIG HARBOR WA)
CA
04/01/2008 - 04/14/2010
CAPITAL BROKERAGE CORPORATION (PLEASANT HILL CA)
CA
01/06/2005 - 04/01/2008
ASSETMARK CAPITAL CORPORATION (PLEASANT HILL CA)
OH
03/24/2003 - 01/05/2005
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
WI
12/18/2000 - 09/17/2002
STRONG INVESTMENTS, INC. (MENOMONEE FALLS WI)
DE
04/12/1999 - 11/30/2000
ING FUNDS DISTRIBUTOR, INC. (WILMINGTON DE)
NY
03/14/1995 - 09/17/1998
PRINCETON SECURITIES CORPORATION (SYOSSET NY)
NY
09/01/1994 - 02/23/1995
L.C. WEGARD & CO., INC. (NEW YORK NY)
IA
Issued 03/28/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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