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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 Berg, jr. is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Macon, Georgia. James has over 40 years of experience in the financial services industry and holds several licenses and certifications, including Series 3, 7, 9, 10, 63, and 65. In addition to providing investment advice to individuals and families, James also offers services to businesses, pension plans, and charitable organizations. James is committed to providing personalized financial advice and helping his clients achieve their financial goals.
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
GA
03/27/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MACON GA)
GA
02/13/2013 - 04/24/2023
RAYMOND JAMES & ASSOCIATES, INC. (MACON GA)
GA
03/11/2005 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MACON GA)
NY
01/02/2002 - 04/04/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
GA
08/22/1979 - 01/02/2002
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
IA
Issued 06/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/25/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1983
Series 3 - National Commodity Futures Examination
BC
Issued 08/18/1979
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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