Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carissa? Claim Your ProfileCarissa James is a financial professional with a focus on providing investment advice to individuals and families. Carissa has over 7 years of experience in the financial services industry. Her career began at Lockton Investment Securities, LLC, where she worked for a year before joining Fidelity Brokerage Services LLC, where she currently holds the role of a Registered Representative. Carissa holds the Series 63, Series 65, Series 7TO and SIE licenses. She is registered in 18 states and holds the status of APPROVED in each state. Her primary office is located in WESTLAKE, Texas. Carissa is committed to helping her clients achieve their financial goals and build a secure financial future.
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
TX
08/30/2021 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
MO
08/03/2020 - 08/31/2021
LOCKTON INVESTMENT SECURITIES, LLC (ST. LOUIS MO)
BC
Issued 08/31/2020
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/26/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/2021
Series 7TO - General Securities Representative Examination
BC
Issued 08/03/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/16/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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