Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Farnham is a financial advisor with PFS Investments Inc., located in Middletown, NY. James has over 15 years of experience in the financial services industry. He is a registered investment advisor representative and holds the Series 6, 7, 63 and 65 licenses. James has previously worked with a variety of firms, including Northwestern Mutual Investment Services, LLC, Gruntal & Co., L.L.C., and Dean Witter Reynolds Inc. James is also an independent contractor with several other companies, including Blue Cross Blue Shield, AFLAC and Savoy Associates. James specializes in providing financial advice to individuals and families, including retirement planning, investment management, and insurance. He is committed to providing personalized financial advice and helping his clients 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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
07/06/2021 - Present
PFS Investments Inc. (MIDDLETOWN NY)
NY
09/29/2014 - 08/08/2016
PFS INVESTMENTS INC. (MIDDLETOWN NY)
NY
02/24/2013 - 01/06/2014
PFS INVESTMENTS INC. (MIDDLETOWN NY)
WI
03/12/2004 - 02/15/2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
NY
09/03/1999 - 04/17/2000
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
08/27/1993 - 09/29/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
06/25/1993 - 08/10/1993
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
04/14/1993 - 06/04/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 09/07/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/2013
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 03/25/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/11/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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