Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Sheldon James is a financial advisor with over 25 years of experience in the industry. He is currently registered with LPL Financial LLC and is licensed to sell securities in North Carolina and South Carolina. Previously, Michael has held positions at a number of other firms including UVEST Financial Services Group, Inc., Vanguard Marketing Corporation, CSFBDIRECT, INC., First Union Brokerage Services, Inc., American Express Financial Advisors Inc. and IDS Life Insurance Company. Michael holds a number of industry certifications, including Series 7, Series 24, Series 53, Series 63, Series 99 and SIE.
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
SC
03/07/2007 - Present
LPL Financial LLC (FORT MILL SC)
NC
07/08/2011 - 04/19/2012
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
05/06/2002 - 01/23/2007
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NJ
10/05/1999 - 12/31/2001
CSFBDIRECT, INC. (JERSEY CITY NJ)
NC
05/08/1998 - 06/08/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MN
08/26/1996 - 08/25/1997
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
08/26/1996 - 08/25/1997
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 08/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/24/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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