Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Andrew Horrocks is a registered representative with Harris Williams. James Andrew Horrocks has been in the securities industry for approximately 2 months. James Andrew Horrocks has passed the Series 79TO, Series 63 and SIE exams. James Andrew Horrocks is registered to sell securities in California and Virginia.
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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CA
07/25/2023 - Present
Harris Williams (SAN FRANCISCO CA)
BC
Issued 05/08/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 03/21/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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