Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Arthur Steele is an investment advisor with over 30 years of experience in the financial services industry. James Steele currently works at Merrill Lynch, Pierce, Fenner & Smith Incorporated and is registered in 53 states. James Arthur Steele is a Series 63, Series 65, Series 7, Series 3 and SIE licensed individual. Before joining Merrill Lynch, Pierce, Fenner & Smith Incorporated James Steele was associated with Waddell & Reed, Inc. in Overland Park, KS from July 1992 to October 1993. James Steele has provided financial advice to a wide range of clients, including individuals, high-net-worth individuals, corporations, and retirement plans.
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
ID
10/17/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOISE ID)
KS
07/06/1992 - 10/22/1993
WADDELL & REED, INC. (OVERLAND PARK KS)
IA
Issued 1/20/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/5/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/25/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 4/18/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/23/2003
Series 3 - National Commodity Futures Examination
BC
Issued 1/5/1994
Series 7 - General Securities Representative Examination
BC
Issued 7/2/1992
Series 6 - Investment Company Products/Variable Contracts 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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