Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Oliver is a registered representative with DC Advisory. James has been in the industry since 1999, having previously worked at Wachovia Capital Markets, LLC, Wachovia Securities, LLC, and Banc One Capital Markets, Inc. James is registered with the state of District of Columbia and New York. James has passed Series 7, SIE, Series 79TO and Series 63 exams.
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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DC
04/27/2009 - Present
DC Advisory (Washington DC DC)
NC
07/01/2003 - 02/25/2009
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/06/2000 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
IL
02/03/1999 - 05/26/2000
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
BC
Issued 01/05/2001
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 02/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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