Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rosato is a financial professional with Empower Financial Services, Inc. James has been in the financial services industry since August 2015. James holds the Series 6, Series 26, Series 63, and SIE licenses. James is registered to provide securities services in 33 states and the District of Columbia. James previously worked for PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC.
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.
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.
1
2
PA
04/04/2022 - Present
Empower Financial Services, Inc. (Scranton PA)
PA
08/31/2015 - 04/04/2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (SCRANTON PA)
BC
Issued 09/23/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2018
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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