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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wesley Battle is a financial advisor who has been working in the industry since August 2012. Currently, James Wesley Battle is registered as a broker with Cetera Investment Advisers LLC. James Wesley Battle has experience with Raymond James Financial Services, Inc., NFP Securities, Inc. and a number of other firms. James Wesley Battle holds Series 66, Series 7, Series 9, Series 10, and SIE licenses and is registered as a financial advisor in several states. James Wesley Battle holds the Certified Financial Planner designation.
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.
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.
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2
MD
09/21/2023 - Present
Cetera Investment Advisers LLC (ROCKVILLE MD)
MD
07/31/2014 - 08/29/2023
RAYMOND JAMES FINANCIAL SERVICES, INC. (ROCKVILLE MD)
MD
05/19/2014 - 07/25/2014
NFP SECURITIES, INC. (SEVERNA PARK MD)
BOTH
Issued 6/9/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/30/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/13/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/19/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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