Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Calforda is a financial advisor with over 30 years of experience in the industry. James is currently registered with LPL Financial LLC and is licensed in several states. Before joining LPL Financial LLC, James worked with WELLS FARGO INVESTMENTS, LLC, WELLS FARGO SECURITIES INC., BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., FINANCIAL HORIZONS SECURITIES CORPORATION, CITICORP INVESTMENT SERVICES, and MIMLIC SALES CORPORATION. James' expertise lies in providing investment advice and financial planning services to individuals, businesses, and institutions. James holds the Series 63, Series 65, Series 7, and SIE licenses.
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
01/21/2022 - Present
LPL Financial LLC (NAPA CA)
CA
05/02/2001 - 12/18/2007
WELLS FARGO INVESTMENTS, LLC (NAPA CA)
CA
10/11/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MA
07/12/1999 - 10/11/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
09/15/1994 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NA
08/27/1993 - 09/15/1994
FINANCIAL HORIZONS SECURITIES CORPORATION
NY
08/20/1992 - 09/12/1994
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MN
03/20/1990 - 08/18/1992
MIMLIC SALES CORPORATION (ST. PAUL MN)
IA
Issued 08/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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