Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bass is a financial advisor registered in Colorado and Texas. James has been in the industry since September 2005 and has been affiliated with J.p. Morgan Securities LLC since December 2021. James's primary office is located in Denver, Colorado. James provides financial planning and portfolio management services to individuals, businesses, and retirement plans. James is also a registered investment advisor in Colorado and Texas. James also manages client assets for J.p. Morgan Securities LLC. James has been registered with FINRA and several state securities regulators. James has passed several industry exams including Series 7, Series 24, Series 63 and Series 65. James has also been employed by CREDIT SUISSE SECURITIES (USA) LLC, DRESDNER KLEINWORT SECURITIES LLC and JPMORGAN CHASE BANK NA.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CO
04/02/2024 - Present
J.p. Morgan Securities LLC (Denver CO)
NY
08/13/2007 - 01/04/2022
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
09/16/2005 - 08/16/2007
DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)
IA
Issued 03/01/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/27/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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