Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xavier? Claim Your ProfileXavier Tufty is a financial advisor registered with LPL Financial LLC. Xavier has been in the industry since January 30, 2002. Xavier is licensed to provide investment advice in all 50 states as well as Puerto Rico and the Virgin Islands. Xavier previously worked at Wells Fargo Clearing Services, LLC, SunTrust Investment Services, Inc., UBS Financial Services Inc., and Banc of America Investment Services, Inc. Xavier holds Series 7, 9, 10, 63, and 66 securities licenses. Xavier is also registered as an Investment Advisor Representative in South Carolina.
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
06/30/2021 - Present
LPL Financial LLC (FORT MILL SC)
SC
09/18/2013 - 06/08/2021
WELLS FARGO CLEARING SERVICES, LLC (ROCK HILL SC)
NC
01/03/2011 - 09/18/2013
SUNTRUST INVESTMENT SERVICES, INC. (CONCORD NC)
NC
05/15/2009 - 12/31/2010
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
NC
11/12/2001 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 09/19/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/14/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Xavier Tufty is the right advisor for you? Invested Better is here to help.
