Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wong is a financial advisor with LPL Financial LLC, a well-established firm managing over $50 billion in assets. James has been active in the industry since 2006 and holds licenses in several states including California, Alabama, and Texas. James is experienced in a variety of financial services including financial planning, investment management, and pension consulting. Previous to LPL Financial LLC, James was registered with Waddell & Reed and Ameriprise Financial Services, Inc. James's expertise extends to providing consulting and other non-discretionary advisory services. James also has a strong background in insurance and has held a non-variable insurance license since 2011.
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.
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CA
07/21/2021 - Present
LPL Financial LLC (TORRANCE CA)
CA
05/05/2011 - 07/21/2021
WADDELL & REED (TORRANCE CA)
CA
11/16/2006 - 04/28/2011
AMERIPRISE FINANCIAL SERVICES, INC. (LOS ANGELES CA)
BOTH
Issued 01/05/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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