Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Farmer is a financial advisor with The Leaders Group, Inc. based in Littleton, CO. James has been in the financial services industry since 1983. James is registered with the state of Colorado and holds Series 6, 7 and SIE licenses. James' previous experience includes LPL Financial LLC, Associated Securities Corp., Wachovia Securities, LLC, Prudential Securities Incorporated and Pruco Securities Corporation.
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.
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.
1
2
CO
01/02/2018 - Present
THE Leaders Group, Inc. (LITTLETON CO)
IL
09/08/2009 - 12/26/2017
LPL FINANCIAL LLC (HOFFMAN ESTATES IL)
MA
05/08/2008 - 09/08/2009
ASSOCIATED SECURITIES CORP. (BOSTON MA)
IL
07/01/2003 - 04/16/2008
WACHOVIA SECURITIES, LLC (CHICAGO IL)
NY
07/15/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
03/16/1983 - 06/15/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 12/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/15/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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