Laura M. James

FRANKLIN DISTRIBUTORS

Short Hills, NJ 07078

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CRD#: 4280644

Professional summary

Laura Marie James, CIMA®, who also goes by Laura Marie Hinde, Laura M. James, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.

Laura is registered as a RR (Registered Representative) and started their career in finance in 2000. Laura has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Laura Marie Hinde | Laura M. James

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laura Marie James's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078

CRD#: 109064

Short Hills, NJ

Past

March 10, 2020 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

March 10, 2020 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

May 1, 2010 - March 4, 2020

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

Weddington, NC

Past

May 1, 2010 - March 4, 2020

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

CHARLOTTE, NC

Past

March 9, 2005 - May 7, 2010

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

June 21, 2004 - May 1, 2010

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

January 28, 2003 - June 21, 2004

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

October 31, 2002 - January 21, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 17, 2000 - July 12, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/7/2021)

Alaska
(7/7/2021)

Arizona
(7/7/2021)

Arkansas
(7/7/2021)

California
(7/7/2021)

Colorado
(7/7/2021)

Connecticut
(7/7/2021)

Delaware
(7/7/2021)

District of Columbia
(7/7/2021)

Florida
(7/7/2021)

Georgia
(7/7/2021)

Hawaii
(7/7/2021)

Idaho
(7/7/2021)

Illinois
(7/7/2021)

Indiana
(7/7/2021)

Iowa
(7/7/2021)

Kansas
(7/7/2021)

Kentucky
(7/7/2021)

Louisiana
(7/7/2021)

Maine
(7/7/2021)

Maryland
(7/7/2021)

Massachusetts
(7/7/2021)

Michigan
(7/7/2021)

Minnesota
(7/7/2021)

Mississippi
(7/7/2021)

Missouri
(7/7/2021)

Montana
(7/7/2021)

Nebraska
(7/7/2021)

Nevada
(1/6/2022)

New Hampshire
(7/7/2021)

New Jersey
(7/7/2021)

New Mexico
(7/7/2021)

New York
(7/7/2021)

North Carolina
(7/7/2021)

North Dakota
(7/7/2021)

Ohio
(7/7/2021)

Oklahoma
(7/7/2021)

Oregon
(7/7/2021)

Pennsylvania
(7/7/2021)

Puerto Rico
(7/7/2021)

Rhode Island
(7/7/2021)

South Carolina
(7/7/2021)

South Dakota
(7/7/2021)

Tennessee
(7/7/2021)

Texas
(7/7/2021)

Utah
(7/7/2021)

Vermont
(7/7/2021)

Virgin Islands
(7/7/2021)

Virginia
(7/7/2021)

Washington
(7/7/2021)

West Virginia
(7/7/2021)

Wisconsin
(7/7/2021)

Wyoming
(7/7/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/30/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/9/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Laura M. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laura Marie James's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

BACAP DISTRIBUTORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2003

Series 63

Date: 2/9/2001

SIE

Date: 10/1/2018

Series 7

Date: 11/16/2000

Series 24

Date: 2/28/2006

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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