Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Thomas Ferris is a financial advisor at LPL Financial LLC. James has been working in the industry since 2021. James has a Series 7TO, Series 63 and Series 65 license. James's office is located at 40 High St in Bristol, CT. James is registered to provide investment advice in Connecticut, Massachusetts and Rhode Island. James has experience working with insurance companies, charitable organizations, high net worth individuals, corporations and other businesses, individuals, state or municipal government entities and sovereign wealth funds and foreign official institutions. James offers portfolio management for businesses and individuals, financial planning, educational seminars and selection of other advisors.
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
CT
03/01/2023 - Present
LPL Financial LLC (BRISTOL CT)
MA
04/16/2021 - 02/24/2023
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)
IA
Issued 12/12/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/09/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2021
Series 7TO - General Securities Representative Examination
BC
Issued 06/08/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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