Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Tuttle is an investment advisor representative at LPL Financial LLC. James has been in the financial industry for over 10 years. James has a Series 7, Series 24, Series 66, and SIE license and is registered to provide investment advice in 53 states and the District of Columbia. James has previously worked at UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and New England Securities. James specializes in providing financial advice to individuals, corporations, charitable organizations, pension and profit-sharing plans, 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.
1
2
SC
09/26/2016 - Present
LPL Financial LLC (FORT MILL SC)
NC
02/10/2012 - 02/04/2014
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
NC
10/11/2011 - 12/19/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
09/25/2009 - 07/01/2011
NEW ENGLAND SECURITIES (CHARLOTTE NC)
BOTH
Issued 10/08/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/29/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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