Unclaimed
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 with Cetera Investment Advisers LLC, a firm with over 100,000 clients. James has been in the industry for over 11 years, providing financial planning and investment advice. James is also registered with the state of Texas as an Investment Advisor Representative. James has a strong background in financial planning and specializes in helping individuals with their retirement planning, college savings, and other financial goals.
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 06/09/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/30/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/13/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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