Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Swan is a financial advisor with over 27 years of experience in the financial services industry. James is currently registered with Oppenheimer & Co. Inc. and is located in Stamford, CT. Prior to joining Oppenheimer & Co. Inc., James worked at Stifel, Nicolaus & Company, Incorporated, BB&T Securities, LLC, Scott & Stringfellow, LLC, Bergen Capital, Inc., Belle Haven Investments, L.P., Merit Capital Associates, Inc., Gilmore Securities & Co., and Greenwich Partners, Inc. James holds several licenses, including Series 7, Series 52, Series 63, and Series 79.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CT
03/22/2022 - Present
Oppenheimer & Co. Inc. (STAMFORD CT)
NY
01/18/2013 - 03/05/2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED (WHITE PLAINS NY)
NJ
01/02/2013 - 01/23/2013
BB&T SECURITIES, LLC (HASBROUCK HEIGHTS NJ)
NJ
01/05/2006 - 01/02/2013
SCOTT & STRINGFELLOW, LLC (HASBROUCK HEIGHTS NJ)
NJ
11/05/2001 - 01/13/2006
BERGEN CAPITAL, INC. (HASBROUCK HEIGHTS NJ)
NY
11/12/1998 - 11/02/2001
BELLE HAVEN INVESTMENTS, L.P. (RYE BROOK NY)
CT
03/13/1998 - 11/13/1998
MERIT CAPITAL ASSOCIATES, INC. (WESTPORT CT)
NJ
01/09/1997 - 02/25/1998
GILMORE SECURITIES & CO. (FORT LEE NJ)
CT
08/04/1993 - 01/25/1996
GREENWICH PARTNERS, INC. (STAMFORD CT)
BC
Issued 08/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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