Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Tapia is a financial advisor who has been working in the industry since 2007. James is currently registered with Equitable Advisors, LLC. James has a background in financial services and has worked for a variety of firms, including Transamerica Investors Securities Corporation, ING Financial Advisors, LLC, and Manequity, Inc. James is licensed to sell securities in the state of California. James specializes in providing financial planning, pension consulting, educational seminars, and portfolio management for businesses and individuals.
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.
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2
CA
10/07/2019 - Present
Equitable Advisors, LLC (PASADENA CA)
NY
11/03/2010 - 01/02/2018
TRANSAMERICA INVESTORS SECURITIES CORPORATION (HARRISON NY)
CA
06/05/2007 - 02/04/2009
ING FINANCIAL ADVISERS, LLC (GLENDALE CA)
MA
08/16/1993 - 11/14/1996
MANEQUITY, INC. (BOSTON MA)
BC
Issued 02/29/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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