Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames V Lauro is a financial professional with over 20 years of experience in the industry. James is currently registered with Principal Securities, Inc. in Maitland, FL. James also has prior experience with firms including LEGEND EQUITIES CORPORATION, AXA ADVISORS, LLC, USALLIANZ SECURITIES, INC., INTERNATIONAL ASSETS ADVISORY, LLC, CHARLES SCHWAB & CO., INC., SUNTRUST SECURITIES, INC., and DEAN WITTER REYNOLDS INC.. James holds the Series 7, Series 31, Series 63, and Series 65 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.
Personalized portfolio management to meet individual financial objectives.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
FL
11/28/2023 - Present
Principal Securities, Inc. (MAITLAND FL)
FL
08/16/2012 - 07/05/2013
LEGEND EQUITIES CORPORATION (ST. PETERSBURG FL)
FL
01/04/2011 - 02/10/2011
AXA ADVISORS, LLC (ORLANDO FL)
NY
09/26/2002 - 12/08/2003
AXA ADVISORS, LLC (NEW YORK NY)
MN
04/10/2002 - 09/18/2002
USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)
FL
08/21/2000 - 04/04/2002
INTERNATIONAL ASSETS ADVISORY, LLC (ORLANDO FL)
TX
10/15/1999 - 06/21/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
GA
05/20/1999 - 09/27/1999
SUNTRUST SECURITIES, INC. (ATLANTA GA)
NY
06/30/1998 - 02/23/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/26/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/28/2023
Series 7TO - General Securities Representative Examination
BC
Issued 04/20/2023
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2011
Series 7 - General Securities Representative Examination
BC
Issued 07/16/1998
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
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