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. Mathieu is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Pennington, New Jersey. James A. Mathieu has been working in the financial services industry for over 13 years, with experience at both Merrill Lynch and Wells Fargo Advisors, LLC. James A. Mathieu specializes in providing investment advisory services to a wide range of clients, including individuals, corporations, and institutions.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
11/04/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
01/20/2010 - 10/07/2013
WELLS FARGO ADVISORS, LLC (SHORT HILLS NJ)
BOTH
Issued 02/05/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/24/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Mathieu is the right advisor for you? Invested Better is here to help.
