Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames A. Davis is a financial advisor with Houlihan Lokey Capital, Inc. in Charlotte, NC. James has been in the financial services industry since 2009. James holds Series 7, 24, 63, 79TO and SIE licenses.
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
NC
12/20/2023 - Present
Houlihan Lokey Capital, Inc. (Charlotte NC)
NC
01/24/2011 - 04/15/2024
7M SECURITIES, LLC (CHARLOTTE NC)
GA
09/29/2009 - 01/25/2011
CAPE SECURITIES INC. (MCDONOUGH GA)
BC
Issued 02/16/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/26/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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