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 Happ is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. James Happ has been in the industry since 1994 and has passed a total of 7 exams. James Happ is registered in 53 states and 2 territories. The firm has 16965 clients, approximately $10 billion - $50 billion in assets, and they are a registered investment advisor. James Happ is an active member of the St. John's Jesuit High School and Academy Foundation Board.
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
OH
01/10/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TOLEDO OH)
IA
Issued 12/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/20/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/19/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/14/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1994
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
Not sure James Happ is the right advisor for you? Invested Better is here to help.
