Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Matthew James is a financial advisor with over 20 years of experience in the industry. Brian joined Btig, LLC in 2020. Prior to joining Btig, LLC, Brian worked at Triad Securities Corp, Mission Capital LLC, Cohen & Company Securities, LLC, Taberna Securities, LLC, UBS Paine Webber Inc., BA Investment Services, Inc., Smith Barney Inc., Wheat, First Securities, Inc., and Stratton Oakmont Inc. Brian holds the Series 7, Series 24, Series 63, Series 79TO, and Series 99TO licenses. Brian is currently registered in California.
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.
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.
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2
CA
01/14/2020 - Present
Btig, LLC (SAN FRANCISCO CA)
NY
01/18/2012 - 02/16/2018
TRIAD SECURITIES CORP (NEW YORK NY)
NY
01/22/2009 - 05/11/2015
MISSION CAPITAL LLC (NEW YORK NY)
NY
06/18/2002 - 07/10/2007
COHEN & COMPANY SECURITIES, LLC (NEW YORK NY)
NY
05/09/2006 - 03/19/2007
TABERNA SECURITIES, LLC (NEW YORK NY)
NJ
05/27/1999 - 06/27/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
CA
07/03/1997 - 04/07/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
08/30/1995 - 04/21/1997
SMITH BARNEY INC. (NEW YORK NY)
NC
04/19/1995 - 08/22/1995
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NY
11/28/1994 - 03/01/1995
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
BC
Issued 12/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/30/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 02/16/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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