Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ustby is an investment advisor representative currently registered with LPL Financial LLC. James Ustby has been in the industry since 2018, working with clients in Minnesota and North Carolina. Prior to joining LPL Financial LLC, James Ustby held a registration with Ameriprise Financial Services, LLC and Ameriprise Financial Services, Inc. James Ustby has also been registered with the State of North Carolina and the State of Minnesota. James Ustby holds the Series 66, Series 7TO, SIE and Series 7 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
NC
09/26/2024 - Present
LPL Financial LLC (RALEIGH NC)
MN
11/19/2019 - 03/23/2021
AMERIPRISE FINANCIAL SERVICES, LLC (WASECA MN)
MN
08/06/2018 - 08/07/2019
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
BOTH
Issued 09/28/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/31/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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