Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aaron Hargis is a financial professional with over 22 years of experience in the financial services industry. James has worked with a number of firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Keegan & Company, Inc. and Invest Financial Corporation. James is currently registered with Citigroup Global Markets Inc. where he offers a variety of financial services including asset allocation advice, financial planning, pension consulting, portfolio management for businesses and individuals and publication of periodicals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
FL
06/08/2023 - Present
Citigroup Global Markets Inc. (Jacksonville FL)
CO
06/29/2022 - 11/23/2022
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
FL
05/14/2010 - 05/17/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
FL
11/20/2007 - 04/23/2010
MORGAN KEEGAN & COMPANY, INC. (JACKSONVILLE FL)
FL
05/20/2005 - 11/27/2007
INVEST FINANCIAL CORPORATION (ALACHUA FL)
CT
06/14/2004 - 05/20/2005
INFINEX INVESTMENTS, INC. (MERIDEN CT)
WI
04/21/2005 - 05/11/2005
INVEST FINANCIAL CORPORATION (APPLETON WI)
MA
01/16/2001 - 06/21/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 11/08/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2002
Series 7 - General Securities Representative Examination
BC
Issued 01/12/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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