Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Falcone is a financial advisor in BELLEVUE, WA. James has been in the financial services industry since 1994 and is currently registered with Cetera Investment Advisers LLC and Fulcrum Wealth Advisors, LLC. James holds several licenses, including Series 7, Series 31, Series 63 and Series 65. James has experience working with individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. James specializes in providing financial planning, portfolio management, and selection of other advisors services.
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.
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.
1
2
WA
06/29/2023 - Present
Cetera Investment Advisers LLC (BELLEVUE WA)
WA
06/05/2009 - 09/06/2013
OPPENHEIMER & CO. INC. (BELLEVUE WA)
WA
05/04/2001 - 06/26/2009
UBS FINANCIAL SERVICES INC. (BELLEVUE WA)
MN
10/20/1994 - 05/18/2001
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IA
Issued 11/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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