Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Michael James is a financial advisor with over 11 years of experience in the financial services industry. Steven is currently registered with LPL Financial LLC in Lutherville, MD. Steven has experience with a wide range of financial services, including investment advisory, financial planning and portfolio management. Prior to joining LPL Financial LLC, Steven worked at OSAIC FA, INC. and T. Rowe Price Investment Services, INC. Steven is committed to providing his clients with personalized financial advice and guidance to help them reach 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.
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.
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2
MD
08/14/2024 - Present
LPL Financial LLC (LUTHERVILLE MD)
MD
02/10/2023 - 08/19/2024
OSAIC FA, INC. (Lutherville MD)
MD
09/20/2018 - 07/31/2020
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
MD
05/25/2012 - 01/04/2017
T. ROWE PRICE INVESTMENT SERVICES, INC. (OWINGS MILLS MD)
MD
12/23/2011 - 01/03/2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (COLUMBIA MD)
BOTH
Issued 01/06/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/16/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2013
Series 7 - General Securities Representative Examination
BC
Issued 12/22/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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