Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Ervin James is a financial advisor with Raymond James & Associates, Inc. with over 20 years of experience in the industry. Kimberly has held positions at several firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, Inc., Stephens Inc., and Citigroup Global Markets Inc. Kimberly is licensed in North Carolina. Kimberly provides financial planning, portfolio management for individuals and businesses, and other advisory services to clients.
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.
Please see note in schedule d - miscellaneous
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
FL
02/03/2022 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NC
10/23/2009 - 01/18/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
10/29/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
03/03/2006 - 10/05/2007
STEPHENS INC. (CHARLOTTE NC)
GA
02/21/2006 - 03/28/2006
CITIGROUP GLOBAL MARKETS INC. (ATLANTA GA)
GA
11/30/2000 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (ATLANTA GA)
IA
Issued 07/05/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/08/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 11/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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