Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Charles Roddy is a registered representative of Morgan Stanley. James Charles Roddy has been in the securities industry since June 1997 and is currently registered with FINRA and in 39 states. James Charles Roddy also holds the Series 7, Series 63, Series 65, Series 79 and SIE 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
LA
06/01/2009 - Present
Morgan Stanley (New Orleans LA)
NY
09/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
02/02/1999 - 09/24/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/28/1998 - 02/18/1999
LINKS SECURITIES INC. (NEW YORK NY)
OH
07/01/1997 - 07/08/1998
FINANCIAL ASSET MANAGEMENT, INC. (COLUMBUS OH)
IA
Issued 08/14/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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