James Lindsay, financial advisor Carlsbad CA
90 score

James Lindsay

CRD Number: 5994471
Current Firm: Sagepoint Financial, Inc.

James Lindsay (CRD# 5994471) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Carlsbad, CA and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Sagepoint Financial Carlsbad, CA Jul 2013 - Current 3
Guardian Life Insurance Co Of America Carlsbad, CA Jan 2013 - Current 3
Park Avenue Securities LLC Carlsbad, CA Jan 2013 - Jul 2013 < 1
Park Avenue Securities San Diego, CA Dec 2011 - Jan 2013 1
Guardian Life Insurance Co San Diego, CA Oct 2011 - Jan 2013 1
Farmers Insurance Encinitas, CA Sep 2010 - Oct 2011 1
Unemployed Carlsbad, CA Feb 2010 - Aug 2010 < 1
Rocktenn Co Norcross, GA Jul 1987 - Feb 2010 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2012
S65 NASAA Investment Advisors Law Examination Aug 2012
Contact Info for James J. Lindsay
Phone Number: 1-800-552-3319 EXT 2606
Registered State(s):
  • CA
  • GA
By the Numbers
  • Total Assets Under Management
    4,385
    MILLIONS
  • Total Number of Accounts
    23,011
    ACCOUNTS
  • Average Account Value
    $190,540
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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