Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Graham is a financial professional with over 8 years of experience in the financial industry. James is currently registered with Fidelity Brokerage Services LLC and holds Series 4, 7, 9, 10, 63, and SIE licenses. James has an active Series 63 license and is registered with the states of Massachusetts, Texas, and Utah.
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.
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.
1
2
FL
08/18/2014 - Present
Fidelity Brokerage Services LLC (JACKSONVILLE FL)
BC
Issued 08/25/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/31/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/08/2017
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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