Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rhead is a financial professional with over 9 years of experience in the financial services industry. James is currently registered with TP Icap Global Markets Americas LLC and is licensed to conduct business in New York. James previously held positions with Tullett Prebon Financial Services LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James holds the Series 7, Series 66, 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
NY
06/30/2023 - Present
TP Icap Global Markets Americas LLC (New York NY)
NY
01/22/2018 - 06/30/2023
TULLETT PREBON FINANCIAL SERVICES LLC (New York NY)
NJ
06/18/2014 - 01/16/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SHORT HILLS NJ)
BOTH
Issued 08/20/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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