Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alfonso is a financial professional with over 8 years of experience in the industry. He is currently registered with Capital ONE Securities, Inc. and has a Series 63, SIE and Series 79 license. James has previously worked with CITIGROUP GLOBAL MARKETS INC. James is registered in 11 states and holds a total of 3 exams, including a state exam, a principal exam and a product exam.
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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NY
10/26/2017 - Present
Capital ONE Securities, Inc. (New York NY)
NY
08/18/2015 - 10/19/2017
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 08/20/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2015
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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