Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Baratta is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., based in Pennington, NJ. James has been working in the financial industry since 1997. James offers advisory services to individuals, businesses, and pension plans. James is registered with the state of New Jersey and Texas.
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
NJ
06/03/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
PA
06/29/2011 - 02/24/2022
CANTOR FITZGERALD & CO. (CONSHOHOCKEN PA)
NY
05/04/2010 - 06/10/2011
SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)
NY
01/07/2005 - 04/29/2010
FTN FINANCIAL SECURITIES CORP (NEW YORK NY)
NY
09/10/1997 - 01/07/2005
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
BOTH
Issued 04/11/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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