Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carl Dario is a financial advisor with over 30 years of experience in the industry. He has held senior positions at several major financial firms including TD Ameritrade, Pershing Advisor Solutions LLC, and National Financial Services LLC. James is currently registered with Charles Schwab & Co., Inc. and holds multiple licenses and certifications including the Series 7TO, Series 63, and Series 24 licenses.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
MA
12/13/2023 - Present
Charles Schwab & CO., Inc. (Boston MA)
NE
10/23/2012 - 01/06/2021
TD AMERITRADE, INC. (OMAHA NE)
MA
05/09/2008 - 09/18/2012
PERSHING ADVISOR SOLUTIONS LLC (QUINCY MA)
MA
06/13/2007 - 04/22/2008
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
MA
07/25/2000 - 04/22/2008
FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)
MA
06/08/1992 - 01/16/2007
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
MA
02/04/1991 - 06/12/1991
KRUPP SECURITIES CORPORATION (BOSTON MA)
NJ
09/05/1989 - 08/02/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NJ
05/23/1989 - 09/21/1989
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
05/22/1989 - 09/06/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
08/31/1988 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
RI
07/31/1987 - 03/12/1988
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 02/06/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2023
Series 24 - General Securities Principal Examination
BC
Issued 04/26/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/26/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/17/2008
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 04/26/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
BC
Issued 07/29/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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