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 Monteverde is a financial advisor who has been in the industry since 1975. James is currently registered with LPL Financial LLC and is a registered representative in Arizona, Connecticut, Florida, Maryland, Michigan, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Texas, Washington and West Virginia. James also holds a Series 63, 65, 22TO, 6TO, and SIE license. James is a Chartered Financial Consultant and works with individuals, high-net-worth individuals, corporations, businesses, charitable organizations, pension and profit-sharing plans, and investment clubs.
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
PA
03/10/2021 - Present
LPL Financial LLC (PITTSBURGH PA)
PA
01/25/2016 - 03/12/2021
ROYAL ALLIANCE ASSOCIATES, INC. (PITTSBURGH PA)
PA
03/23/2001 - 01/27/2016
NFP ADVISOR SERVICES, LLC (PITTSBURGH PA)
OH
02/20/1984 - 03/28/2001
VESTAX SECURITIES CORPORATION (HUDSON OH)
IA
10/23/1998 - 03/01/2000
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
NA
12/23/1982 - 10/07/1983
MID ATLANTIC CAPITAL SECURITIES
NA
03/10/1975 - 03/09/1982
LINCOLN FINANCIAL ADVISORS CORPORATION
NA
03/10/1975 - 01/28/1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
IA
Issued 01/24/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1975
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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