Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James brian? Claim Your ProfileJames brian Lucas Sugay is a financial advisor with over 15 years of experience in the financial services industry. James brian Lucas Sugay is currently registered with RBC Capital Markets, LLC. Prior to joining RBC Capital Markets, LLC, James brian Lucas Sugay was with Wells Fargo Clearing Services, LLC and Wells Fargo Investments, LLC. James brian Lucas Sugay holds the Series 66, Series 7 and SIE licenses and is registered in 16 states, including California, Texas, Florida, New Jersey, and New York. James brian Lucas Sugay specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and institutional clients. James brian Lucas Sugay has a strong track record of success in helping 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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
02/22/2019 - Present
RBC Capital Markets, LLC (Walnut Creek CA)
CA
01/03/2011 - 02/22/2019
WELLS FARGO CLEARING SERVICES, LLC (FAIRFIELD CA)
CA
05/26/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (VALLEJO CA)
BOTH
Issued 06/06/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2008
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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