Stephen James, financial advisor Metairie LA
93 score

Stephen James

CRD Number: 1428309
Current Firm: Lincoln Financial Securities Corporation

Stephen James (CRD# 1428309) is an Investment Advisor Representative working at Lincoln Financial Securities Corporation in Metairie, LA and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Lincoln Financial Securities Corporation Metairie, LA Feb 2010 - Current 6
Stephen R. James Metairie, LA Aug 2002 - Current 14
Srs Financial Group, Inc. Metairie, LA Jan 1985 - Current 31
Level Four Advisory Services Metaire, LA Feb 2010 - May 2011 1
Securities America Advisors, Inc. Metairie, LA Sep 2002 - Feb 2010 7
Securities America, Inc. Metairie, LA Aug 2002 - Feb 2010 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2001
Contact Info for Stephen R. James
Phone Number: 800-258-3648
Registered State(s):
  • LA
By the Numbers
  • Total Assets Under Management
    1,541
    MILLIONS
  • Total Number of Accounts
    8,357
    ACCOUNTS
  • Average Account Value
    $184,425
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
  • Selection of other advisers (including private fund managers)
  • Other
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
93
Clean Record
This advisor has a clean track record with regulators.

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