Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Caruso is a financial advisor with over 39 years of experience in the industry. James is currently registered with LPL Financial LLC, a large firm headquartered in Fort Mill, South Carolina. Previously, James was registered with Waddell & Reed in Denver, Colorado. James holds a variety of licenses and certifications, including Series 6, 7, 22, 24, 62, 63, and 65. James specializes in working with individuals, businesses, corporations, pension and profit-sharing plans, charitable organizations, and investment clubs.
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
CO
07/21/2021 - Present
LPL Financial LLC (DENVER CO)
CO
09/13/1983 - 07/21/2021
WADDELL & REED (DENVER CO)
IA
Issued 04/29/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/16/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2013
Series 7 - General Securities Representative Examination
BC
Issued 12/14/1988
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 02/05/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 09/12/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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