Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Choe is a registered investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. James has been in the industry since 2001. James has offices in New York, NY and Princeton, NJ. James's firm is registered with FINRA and manages $10 billion - $50 billion in assets. James is currently registered in 16 states and holds Series 7, 63, 65 and 66 securities licenses and the SIE.
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
NY
10/13/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NJ
11/09/2009 - 03/05/2010
DIMENSION SECURITIES, LLC (RED BANK NJ)
NY
02/21/2007 - 11/20/2007
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
06/01/2005 - 02/28/2007
CUTTONE & CO., INC. (NEW YORK NY)
NJ
01/04/2005 - 06/07/2005
EVOLUTION FINANCIAL TECHNOLOGIES, LLC (ISELIN NJ)
NY
11/28/2003 - 01/21/2004
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
IL
03/03/2003 - 11/10/2003
ASSENT LLC (BOLINGBROOK IL)
NY
10/12/2001 - 03/03/2003
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
07/24/2001 - 10/18/2001
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
12/03/1999 - 05/30/2001
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
05/28/1999 - 11/17/1999
CARLIN EQUITIES CORP. (NEW YORK NY)
NY
08/24/1998 - 01/27/1999
OSCAR GRUSS & SON, INCORPORATED (NEW YORK NY)
NY
02/07/1995 - 09/23/1996
A.B. WATLEY, INC. (NEW YORK NY)
NY
03/21/1994 - 12/20/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
10/15/1992 - 02/10/1994
PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)
MA
03/05/1991 - 06/23/1992
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
03/05/1991 - 06/23/1992
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 9/10/2014
Series 66 - Uniform Combined State Law Examination
IA
Issued 4/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/24/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/1/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/4/2005
Series 25 - NYSE Trading Assistant Examination
BC
Issued 4/3/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 3/1/1991
Series 6 - Investment Company Products/Variable Contracts 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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