Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lloyd? Claim Your ProfileLloyd Brendan James is a financial advisor who has been active in the industry since 2003. James is currently registered with T. Rowe Price Associates, Inc. and is a licensed investment advisor. James has worked at several different firms, including WELLS FARGO SECURITIES, LLC and WACHOVIA SECURITIES, LLC. James is a licensed representative in several states and is registered with the Securities Industry and Financial Markets Association (FINRA). James is committed to providing personalized financial advice and helping 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.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CO
10/03/2017 - Present
T. Rowe Price Associates, Inc. (Aurora CO)
NY
07/01/2003 - 07/29/2014
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
MO
09/18/2001 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BOTH
Issued 09/29/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/29/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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