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Stephen Edward James

Alliance-ONE Investments, LLC

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About Stephen Edward James

Stephen Edward James is a financial advisor with Alliance-ONE Investments, LLC, a firm with a focus on investment products and services. Stephen has been in the financial industry since 2007, and has experience with various financial firms including MetLife Investors Distribution Company, MetLife Securities, Inc., New England Securities, TIAA-CREF Individual & Institutional Services, LLC, and Lincoln Financial Advisors Corporation. Stephen has a Series 6, 7, and 66 license and is registered with FINRA. Stephen is based in Tulsa, OK, and provides financial services to clients in the state.

Firm Information

Stephen James is currently registered with Alliance-ONE Investments, LLC. Alliance-ONE Investments, LLC is a Limited Liability Company formed on October 20, 2016. The firm is registered with the SEC and has one approved registration.

Not reported

Assets Under Management

Not reported

Total Clients

428

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Stephen James’s Registration & Firm History

OK

08/11/2017 - Present

Alliance-ONE Investments, LLC (Tulsa OK)

NC

01/14/2014 - 08/11/2017

METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)

NC

02/20/2014 - 06/30/2016

METLIFE SECURITIES, INC (CHARLOTTE NC)

NC

02/20/2014 - 01/02/2015

NEW ENGLAND SECURITIES (CHARLOTTE NC)

NC

08/02/2007 - 06/20/2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)

NC

04/07/2005 - 06/29/2007

LINCOLN FINANCIAL ADVISORS CORPORATION (CHARLOTTE NC)

IN

04/07/2005 - 05/22/2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)

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Licenses & Designations

BOTH

Issued 03/30/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/14/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/06/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Edward James.
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