Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allison Scott is a financial advisor currently associated with Tradier Brokerage, Inc. James Scott has over 20 years of experience in the financial services industry. James Scott holds Series 6, 7, 24, 53, 63, 66 licenses and the SIE. James Scott is registered in North Carolina as an investment advisor representative.
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
NC
01/23/2023 - Present
Tradier Brokerage, Inc. (CHARLOTTE NC)
FL
04/07/2022 - 11/08/2022
ALPACA SECURITIES LLC (BABCOCK RANCH FL)
NY
10/02/2015 - 08/01/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
06/27/2011 - 09/11/2015
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
NC
09/12/2005 - 10/06/2010
BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
09/16/2004 - 09/13/2005
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
MA
12/03/2002 - 09/16/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NC
11/15/2000 - 12/03/2002
BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MO
10/01/2000 - 11/20/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/01/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
CT
10/20/1997 - 08/11/1998
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
BC
Issued 05/12/2023
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 02/28/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/23/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/15/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2000
Series 7 - General Securities Representative Examination
BC
Issued 10/06/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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