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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 T. Falvey is a financial advisor at Fidelity Personal And Workplace Advisors in Smithfield, Rhode Island. James has been in the financial services industry since 2012, and has experience working with a variety of clients, including individuals, families, businesses, and retirement plans. James holds the Series 6, 7, and 63 licenses, as well as the SIE and Series 65. James is also registered to provide investment advice in 52 states and territories. James specializes in providing financial planning, portfolio management, and investment advice to clients.
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.
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.
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2
RI
12/16/2021 - Present
Fidelity Personal AND Workplace Advisors (SMITHFIELD RI)
RI
10/30/2018 - 11/15/2021
CITIZENS SECURITIES, INC. (JOHNSTON RI)
RI
03/22/2018 - 11/02/2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (PROVIDENCE RI)
RI
06/08/2015 - 09/21/2017
SANTANDER SECURITIES LLC (PROVIDENCE RI)
RI
02/04/2015 - 02/17/2015
SIGNATOR INVESTORS, INC. (WARWICK RI)
RI
08/17/2010 - 01/02/2014
SIGNATOR INVESTORS, INC. (WARWICK RI)
IA
Issued 08/01/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2017
Series 7 - General Securities Representative Examination
BC
Issued 08/16/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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