Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aubrey Sapp has been in the financial services industry since April 1994. James Sapp is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and currently holds registrations in Alabama, Florida and Texas. James Sapp is a well-rounded financial professional who has experience with both brokerage and investment advisory services. He holds licenses for Series 7, 31 and 65 exams, among other qualifications.
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
AL
11/30/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DOTHAN AL)
AL
12/08/2008 - 12/08/2020
WELLS FARGO CLEARING SERVICES, LLC (DALEVILLE AL)
AL
04/14/1994 - 12/11/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DOTHAN AL)
IA
Issued 05/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/13/1994
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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