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. Gilbert is a financial professional with over 16 years of experience in the industry. James has worked for Fidelity Brokerage Services LLC since 2007. James holds Series 63, 66, 7, 9, and 10 licenses, as well as the SIE designation.
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.
1
2
KY
01/09/2007 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
BOTH
Issued 11/30/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/22/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/06/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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