Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dwyer is a financial advisor with over 20 years of experience in the financial services industry. James currently works at TP Icap Global Markets Americas LLC. James has held previous positions with TULLETT PREBON FINANCIAL SERVICES LLC, MURPHY & DURIEU, MCFADDEN, FARRELL & SMITH, L.P., and CHAPDELAINE CORPORATE SECURITIES & CO. James is a Series 7, Series 63, and SIE licensed financial advisor and is registered in New York.
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
NY
06/30/2023 - Present
TP Icap Global Markets Americas LLC (New York NY)
NY
01/05/2015 - 06/30/2023
TULLETT PREBON FINANCIAL SERVICES LLC (New York NY)
NY
09/18/2006 - 01/05/2015
MURPHY & DURIEU (NEW YORK NY)
NY
10/14/2003 - 09/18/2006
MCFADDEN, FARRELL & SMITH, L.P. (NEW YORK NY)
NY
01/10/2003 - 10/14/2003
CHAPDELAINE CORPORATE SECURITIES & CO (NEW YORK NY)
BC
Issued 12/23/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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