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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames B. Simpkins is a financial advisor who has been working in the industry since 1993. James B. Simpkins is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2009. James B. Simpkins is also registered with the state of Vermont, as well as Connecticut, California, Colorado, Florida, Illinois, Massachusetts, Minnesota, New Hampshire, New Jersey, New Mexico, New York, Pennsylvania, and Rhode Island. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., James B. Simpkins worked for JBS SECURITIES CORP. and DIRECT BROKERAGE, INC.
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
MA
12/15/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HYANNIS MA)
NY
01/02/1998 - 09/05/2007
JBS SECURITIES CORP. (NEW YORK NY)
NY
03/20/1997 - 05/05/1999
DIRECT BROKERAGE, INC. (NEW YORK NY)
NY
09/07/1991 - 12/08/1994
ADLER COLEMAN & CO., INC. (NEW YORK NY)
NJ
11/28/1988 - 02/27/1991
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 12/08/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/12/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/02/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2009
Series 7 - General Securities Representative Examination
BC
Issued 05/23/2005
Series 55 - Limited Representative-Equity Trader Exam
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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