Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames C. Steele is a financial advisor with over 20 years of experience in the industry. James is registered to provide investment advisory services in Connecticut, New York and Texas. He is currently employed by Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed to provide investment advisory services in the state of Connecticut, New York and Texas. James has previously worked at Morgan Stanley Smith Barney and Citigroup Global Markets Inc. James C. Steele holds the Series 7, Series 31 and Series 66 licenses. James is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc.
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
CT
09/20/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW CANAAN CT)
NY
06/01/2009 - 09/30/2010
MORGAN STANLEY SMITH BARNEY (MOUNT KISCO NY)
NY
05/27/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MOUNT KISCO NY)
NY
11/11/1999 - 05/29/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/01/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/10/1999
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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