Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Boyle Niven is a financial professional with over 19 years of experience in the securities industry. James has a broad range of experience and licenses, including Series 3, 4, 7, 10, 14, 24, 26, 39, 52TO, 55, 57TO, 62, 63, 82TO, 99TO, and the SIE. James is currently registered with Wells Fargo Securities, LLC and has been with the firm since January 2021. James also held previous positions with Cowen and Company and Credit Suisse Securities (USA) LLC.
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
NC
12/05/2023 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
01/12/2021 - 05/23/2023
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NY
03/21/2016 - 12/10/2020
COWEN AND COMPANY (NEW YORK NY)
NY
04/28/2004 - 03/29/2016
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 06/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/03/2013
Series 4 - Registered Options Principal Examination
BC
Issued 04/12/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2014
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/02/2012
Series 3 - National Commodity Futures Examination
BC
Issued 04/27/2004
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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