Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Christopher MacKen is a financial professional with over 25 years of experience in the securities industry. James has a strong background in investment banking and has held various positions at leading financial institutions. James is currently registered with UBS Securities LLC and is a General Securities Principal. James holds the Series 7, Series 24, Series 4, SIE and Series 79TO licenses. James has previously been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC, Citigroup Global Markets Inc., ABN AMRO Incorporated, Dresdner Kleinwort Wasserstein Securities LLC, Barclays Capital Inc., Deutsche Bank Securities Inc., Nomura Securities International, Inc. and Prudential Securities Incorporated.
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.
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.
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2
NY
06/22/2015 - Present
UBS Securities LLC (NEW YORK NY)
NY
11/01/2010 - 05/11/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
02/25/2010 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
06/28/2005 - 01/07/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CT
09/13/2004 - 06/08/2005
ABN AMRO INCORPORATED (STAMFORD CT)
NY
09/19/2003 - 09/03/2004
DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (NEW YORK NY)
NY
11/14/2000 - 01/28/2003
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
11/22/1999 - 11/15/2000
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
09/19/1996 - 11/12/1999
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
06/11/1996 - 09/13/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 03/12/2007
Series 24 - General Securities Principal Examination
BC
Issued 05/22/2002
Series 4 - Registered Options Principal 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 06/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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