Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Gargiulo is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. James Gargiulo has been in the securities industry since October 20, 1993. James Gargiulo has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since April 2019 and has previously been employed by J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., RBC PROFESSIONAL TRADER GROUP LLC, SMH CAPITAL INC., SCHOTTENFELD GROUP LLC and MORGAN STANLEY & CO., INCORPORATED. James Gargiulo holds Series 7, Series 55, Series 63, and Series 66 licenses, as well as the Securities Industry Essentials Examination (SIE). James Gargiulo has registrations in Connecticut, District of Columbia, Florida, Louisiana, Maryland, Massachusetts, New Jersey, New York, North Carolina, Texas and Virginia. James Gargiulo provides investment advice to individuals, businesses, insurance companies, charitable organizations, pension and profit-sharing plans, corporations, and state or municipal government entities. James Gargiulo's practice focuses on investment management, portfolio management for individuals and businesses, pension consulting, educational seminars, selection of other advisors, and performance measurement reports, allocation modeling, IPS, research reports and services. James Gargiulo is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and is affiliated with the firm's FOREST HILLS branch office.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
04/24/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FOREST HILLS NY)
NY
10/01/2012 - 04/16/2019
J.P. MORGAN SECURITIES LLC (BAYSIDE NY)
NY
07/27/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BAYSIDE NY)
NY
02/14/2008 - 01/23/2009
RBC PROFESSIONAL TRADER GROUP LLC (NEW YORK NY)
NY
10/31/2006 - 02/11/2008
SMH CAPITAL INC. (NEW YORK NY)
NY
04/06/2006 - 10/16/2006
SCHOTTENFELD GROUP LLC (NEW YORK NY)
NY
03/27/1992 - 04/04/2006
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 02/24/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/27/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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