James Lindsay, financial advisor Carlsbad CA

James Lindsay

CRD Number: 5994471
Current Firm: Osaic Wealth, Inc.

James Lindsay (CRD# 5994471) is an Investment Advisor Representative working at Osaic Wealth, Inc. in Carlsbad, CA and has over 12 years of experience in the finance industry.

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Company Name Location Dates Years
Osaic Wealth, Inc. Carlsbad, CA Sep 2023 - Current < 1
Guardian Life Insurance Co Of America Carlsbad, CA Jan 2013 - Current 11
Sagepoint Financial Carlsbad, CA Jul 2013 - Sep 2023 10
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: 800-821-5100 EXT. 5389
Registered State(s):
  • CA
  • NV
  • SC
  • TX
By the Numbers
  • Total Assets Under Management
    29,536
    MILLIONS
  • Total Number of Accounts
    149,233
    ACCOUNTS
  • Average Account Value
    $197,920
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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, WY

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