Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anza is a financial advisor registered with Avantax Advisory Services. James has over 13 years of experience in the financial services industry and has held previous positions at several firms including Clarendon Insurance Agency, Inc., Prudential Annuities Distributors, Inc, and Symetra Securities, Inc. James is licensed in multiple states and holds FINRA Series 6, 7, 63, and 65 licenses, and the SIE exam. James Anza is a financial advisor who can provide a wide range of services including financial planning, pension consulting, and portfolio management.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
CT
09/24/2024 - Present
Avantax Advisory Services (Enfield CT)
MA
01/23/2020 - 09/03/2024
CLARENDON INSURANCE AGENCY, INC. (WALTHAM MA)
CT
08/29/2018 - 12/20/2019
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
MA
03/25/2015 - 08/23/2018
SYMETRA SECURITIES, INC. (WALTHAM MA)
MA
06/23/2014 - 01/06/2015
COMMONWEALTH FINANCIAL NETWORK (NEWTON MA)
CA
06/02/2014 - 06/05/2014
RS FUNDS DISTRIBUTOR LLC (SAN FRANCISCO CA)
NY
03/21/2011 - 06/02/2014
GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)
IA
Issued 07/03/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2014
Series 7 - General Securities Representative Examination
BC
Issued 03/19/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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