Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Walsh is a financial advisor at LPL Financial LLC, based in Overland Park, KS. James has been in the industry since 2013. James holds Series 7, 9, 10, 99TO, and SIE licenses. Previously, James was a financial advisor at Wells Fargo Clearing Services, LLC and First Clearing, LLC. James specializes in portfolio management for individuals and businesses, financial planning, pension consulting, educational seminars, and selection of other advisors.
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
KS
06/16/2022 - Present
LPL Financial LLC (OVERLAND PARK KS)
MO
03/19/2014 - 05/24/2022
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
MO
09/03/2013 - 11/22/2016
FIRST CLEARING, LLC (ST. LOUIS MO)
BC
Issued 04/15/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/25/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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