Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steve? Claim Your ProfileSteve Allen James has been a financial advisor for over 20 years. Steve currently works with Cambridge Investment Research Advisors, Inc. Steve is also a registered representative in Arizona and Texas. Steve's previous work experience includes roles at Legend Equities Corporation, American General Financial Advisors, Inc., and The Variable Annuity Marketing Company. Steve has a wide range of experience and is well-equipped to provide financial advice to individuals, families, and businesses.
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.
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.
Solicitation fees from 3rd party money managers
1
2
AZ
01/09/2008 - Present
Cambridge Investment Research Advisors, Inc. (TEMPE AZ)
FL
10/05/2000 - 03/26/2004
LEGEND EQUITIES CORPORATION (PALM BEACH GARDENS FL)
TX
03/30/2000 - 10/04/2000
AMERICAN GENERAL FINANCIAL ADVISORS, INC. (HOUSTON TX)
TX
03/30/2000 - 10/04/2000
THE VARIABLE ANNUITY MARKETING COMPANY (HOUSTON TX)
BOTH
Issued 05/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2002
Series 7 - General Securities Representative Examination
BC
Issued 03/29/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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