Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Griggs is an investment advisor representative and has been in the industry since November 2013. James is registered with Equitable Advisors, LLC and their branch office in Twin Lakes, WI. James holds several licenses and registrations including Series 6, 7TO, and 63 licenses. James is currently registered in 24 states and 18 states for Investment Advisor. James Griggs is a financial professional who provides financial planning, portfolio management and educational seminars. James is also licensed in life settlements and has an outside insurance sales business called Griggs and Griggs.
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
WI
10/04/2021 - Present
Equitable Advisors, LLC (TWIN LAKES WI)
IA
Issued 10/01/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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