Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Duclos is a financial advisor with over 40 years of experience in the industry. James holds a Series 66 license and is registered with Osaic Wealth, Inc. James offers a variety of financial services, including financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals and businesses. James has been registered with several firms throughout their career, including SII Investments, Inc. and New England Securities. James is committed to providing their clients with personalized financial advice and guidance to help them achieve their 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
NY
10/11/2024 - Present
Osaic Wealth, Inc. (Rochester NY)
NY
04/27/1996 - 01/16/2018
SII INVESTMENTS, INC. (ROCHESTER NY)
NY
09/30/1982 - 05/15/1996
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 03/30/2022
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/13/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1976
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
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