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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Garland James is a financial advisor registered with LPL Financial LLC in Sugar Land, Texas. John has been in the financial services industry since April 12, 1981. John has experience working with clients including corporations or other businesses, high-net-worth individuals, individuals other than high-net-worth, pension and profit-sharing plans, and charitable organizations. John is a Series 7, Series 8, Series 63, and SIE licensed financial professional and has experience working with RAYMOND JAMES & ASSOCIATES, INC., INDEPENDENT FINANCIAL GROUP, LLC, and WELLS FARGO ADVISORS, LLC.
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
TX
05/11/2022 - Present
LPL Financial LLC (SUGAR LAND TX)
TX
04/25/2022 - 05/11/2022
INDEPENDENT FINANCIAL GROUP, LLC (SUGAR LAND TX)
TX
08/22/2014 - 05/04/2022
RAYMOND JAMES & ASSOCIATES, INC. (SUGAR LAND TX)
TX
01/01/2008 - 08/25/2014
WELLS FARGO ADVISORS, LLC (SUGAR LAND TX)
TX
05/16/1989 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SUGAR LAND TX)
NA
04/13/1981 - 05/23/1989
ROTAN MOSLE INC.
BC
Issued 05/05/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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